Compliance Officer

2 months ago

London, Greater London, United Kingdom Prudential Financial Full time

About the Role

We are seeking a highly skilled Compliance Analyst to join our team at Prudential Financial. As a Compliance Analyst, you will play a critical role in ensuring that our investment activities are in compliance with regulatory requirements and company policies.

Key Responsibilities

  • Monitor investment activity to ensure compliance with client guidelines, regulatory rules, prospectuses, and policies and procedures.
  • Research potential violations and escalate as needed to resolve.
  • Work closely with Portfolio Management, Trading, and Operations to manage trade day alerts through BlackRock Solutions Aladdin application.
  • Prepare periodic client certifications.
  • Review changes to client guidelines implement changes within the Aladdin environment as needed.
  • Assist in on-boarding and compliance setup for new accounts as needed.
  • Respond to ad hoc requests regarding trading and fund information.

Compliance Monitoring

  • Assist with the delivery of the compliance monitoring programme including:
    • Personal and firm conflicts of interest;
    • Trading oversight;
    • Anti-money laundering;
    • Market Conducts;
    • Information Barriers

Regulatory Advice

  • Provide regulatory advice and guidance to the business as required on existing regulations and changes to regulations, assisting with project and implementation plans as required.

Team Support

  • Assist in providing documentation required for audit requests.
  • Participation and completion of assigned tasks for team projects and initiatives.
  • Assistance in preparing management information for applicable committee and board reports

Requirements

  • Degree educated is preferred;
  • Minimum of 2 years working with an Asset Management, Investment Advisor, or similar, preferably within the compliance department;
  • Proven experience of working in a similar role within an asset management organization; good knowledge of fixed income instruments (including derivatives), financial markets or a compliance background is highly beneficial;
  • Familiarity of applicable European Directives and Regulation, including but not limited to MiFID, MAR, AIFMD, GDPR, UCITS, SFDR and the Financial Conduct Authority's Handbook;
  • Familiarity of federal securities laws applicable to investment advisers, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and experience with other rules and regulations under the Securities Act of 1933, ERISA a plus but not essential;
  • Excellent skills using MS Office, especially Excel and prior experience of BlackRock Solutions' Aladdin system advantageous.

What We Offer

  • Excellent written and verbal communication skills;
  • Team player with high energy and a positive attitude;
  • Seeks development and learning opportunities;
  • Proficient use of technology applications through suite of Office 360 applications;
  • Aladdin and Salesforce experience beneficial;
  • Strong critical thinking and logic skills;
  • Embraces and encourages change and development;
  • Maintains high level of productivity and self-direction;
  • Enjoys being a part of a team but can work independently

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