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Compliance Specialist for Investment and Trading
1 month ago
Pictet is one of the world's leading independent wealth and asset managers. Founded in 1805, the company has a rich history and has established itself as a prominent player in the financial services sector.
Job OverviewThis Compliance role is a key position within our Asset Management team, focusing on ensuring adherence to regulatory requirements and industry best practices.
Key Responsibilities- Develop and Implement Compliance Frameworks: Define and implement Investment and Trading Compliance frameworks, including best execution, market abuse, fair & timely trade allocation, and cross trades.
- Conduct Monitoring and Testing: Perform Compliance Monitoring Plan (CMP) control testing related to Investment and Trading Compliance.
- Maintain Regulatory Compliance: Monitor Equity and Fixed Income Best Execution (L2), ensuring adherence to regulatory requirements and industry best practice.
- Support Gatekeeper Functions: Support the Gatekeeper within Equity and Fixed Income, ensuring compliance with PAM Gatekeeper policies and procedures.
- E-Communications Monitoring: Conduct E-Communications monitoring to detect any violations or irregularities.
- Regular Reviews and Ad Hoc Analysis: Conduct regular and periodic ad hoc and thematic reviews.
- Culture Promotion: Monitor compliance with the PAM Code of Ethics, particularly regarding employee's outside business activities.
- Expertise Development: Develop expertise within fixed income and equities investment management & trading areas, offering practical guidance and pro-active advice on Compliance policies and procedures to fund managers, traders, and local compliance on a timely basis.
- Team Collaboration: Support the broader compliance team to ensure continuity of compliance related activities as and when required.
- Minimum Experience: Minimum of 3 years' proven experience in a similar role preferably within an asset management firm.
- Regulatory Knowledge: Strong knowledge of FCA rules and regulations coupled with sound knowledge of the financial services sector including up to date relevant knowledge of best compliance regulatory peer practice.
- Analytical Skills: Effective analytical and organisational skills coupled with the ability to handle multiple tasks with attention to detail despite strict deadlines.
- Problem Solving: Driven to take ownership, you will investigate issues and proactively problem solve.
- Communication: Ability to communicate confidently and proactively with senior management as well as other senior compliance stakeholders.
- Collaboration: Collaborative in your approach; keen to be part of a small, open, and communicative team.
£65,000 - £85,000 per annum.
Why Choose Us?We are committed to creating a diverse environment where individuals can thrive. We respect all individuals and seek their inclusion in the workplace.
