Compliance Officer
1 day ago
About the Role:
We are seeking a highly skilled Compliance Officer - Financial Promotions to join our team. The ideal candidate will have a strong background in generalist compliance and experience working in the financial services sector. A financial services background is essential, with asset management exposure being a plus.
Key Responsibilities:
- Monitoring investment guidelines for UCITS funds/segregated mandates using the Charles River system, including reviews of investment guidelines/restrictions for new accounts/products.
- Liaising with Traders/Portfolio Managers and the Portfolio Implementation team with respect to general trading queries and trade approvals.
- Assisting in the review and sign-off of RFPs and other financial promotions, aimed primarily at professional investors.
- Assisting with the implementation of the compliance monitoring programme and conducting reviews, including Best Execution/Fair Allocation Market Abuse, PA Dealing, Gifts & Business Entertainment, Trading Hub Market Abuse/Email Surveillance and Eligible Markets.
- Approving, monitoring, and reconciliation of Personal Account Trading.
- Assisting the compliance team with the Quarterly and Annual Code of Ethics Certifications process.
- Assisting with the production of the firm's daily Short Reporting and Monitoring compliance with Transparency Directive for large holdings. Submission of regulatory reports as required.
- Assisting the senior members of the team with submission of FCA Reg Data Returns.
- Assisting with the coordination and collation of information for FCA/other regulatory/audit requests for information.
- Responding to client and regulatory requests in respect of AML/KYC requirements.
- Providing generalist compliance support in all areas of the programme as directed by the Head of Compliance.
- Providing support in the review, updating, and maintenance of the Firm's compliance policies and procedures.
- Assisting the Head of Compliance with Management Information Reporting.
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