Compliance Monitoring

1 week ago

London, United Kingdom eFinancialCareers Full time

Our client is an Asset Manager, multi asset with institutional and various funds globally. We are looking for a contractor to join the Investment compliance team.
**Key tasks**:

- Understanding of UCITS Rule.
- Experience in MIG 21 is a plus.
- Perform monitoring for all accounts globally across multi asset guideline restrictions.
- Ability to adapt to new compliance systems.
- Responsible for daily tasks and processes related to investment monitoring trade alerts.
- Provide support and assist on specific questions that are asked from the investment team.
- Understanding on how rules are coding to ensure an understanding in breaches when responding to portfolio managers queries.
- Improvement to portfolio compliance rules where possible.
- Knowledge of investment products and asset classes within Asset management.
- Responding to client related enquiries raised by the Investor Relations team in a timely manner, identifying any potential issues and propose practical solutions
- Understanding and ability to follow the workflow for passive and active alerts in order to understand potential compliance issues.
- Analysis to ensure any compensation requests raised are responded in detail.
- Ad-hoc tasks and queries from the invest and product team, to understand what rules are in place and what can be monitored.
- Responding to Auditors and Custodian questions on alerts.

  • Compliance Monitoring

    1 week ago

    London, United Kingdom eFinancialCareers Full time

    **Compliance Monitoring £90000 + bonus + benefits Central London** **THE COMPANY **The role sits within the London branch of the corporate banking arm of a global bank, who have a primary focus on lending, trade financing and treasury activities. They have a new senior level compliance monitoring role within their independent Compliancefunction which also...

  • Compliance Monitoring

    2 days ago

    London, United Kingdom Austin Andrew Full time

    PA dealing monitoring - Best execution monitoring - Market abuse monitoring - Telephone record monitoring - Research / inducements monitoring - Gifts & entertainment monitoring, and maintaining the gifts register - Assist with regulatory reporting - Annex IV, NFA CPO PQRs, SEC and State filings, annual NFA updates, SEC Form ADV updates and FCA REGDATA...

  • Compliance Officer

    2 days ago

    London, United Kingdom The Risk Partners London Full time

    **Our Client**: We are working with a boutique Asset Management firm, supporting their search for a Compliance Officer in their London based office. The roles primary function will be carrying out tasks related to the Compliance Monitoring Programme, however there will be wider tasks given the small team. **Responsibilities**: - Compliance Monitoring -...

  • Head of Compliance Monitoring

    6 days ago

    London, United Kingdom eFinancialCareers Full time

    A leading Lloyd’s Insurance broker is hiring a Head of Compliance Monitoring to lead and manage their monitoring team. **Reporting into**: Group Chief Compliance Officer **Responsibilities**: - To provide compliance oversight and leadership across the company structure. - Support the company in maintaining compliance with industry and governmental lead...

  • Compliance Monitoring Manager

    4 days ago

    London, United Kingdom CFC Full time

    To be considered for this role you must have experience working in a Lloyd's MGA, Lloyds Cover Holder or UK based company market insurer.Job Description:An exciting opportunity for an experienced Compliance Monitoring Manager to join a busy, fast-paced Compliance Team to lead and shape the compliance monitoring programme across CFC Group.The role holder will...

  • Compliance Monitoring Manager

    1 day ago

    London, United Kingdom CFC Full time

    To be considered for this role you must have experience working in a Lloyd's MGA, Lloyds Cover Holder or UK based company market insurer. Job Description: An exciting opportunity for an experienced Compliance Monitoring Manager to join a busy, fast-paced Compliance Team to lead and shape the compliance monitoring programme across CFC Group. The role holder...

  • Compliance Monitoring Temp

    1 week ago

    London, United Kingdom Robert Walters Full time

    A leading European asset manager is looking to hire an experienced contractor into their compliance monitoring team. You will need to have strong experience in code of ethics monitoring, thematic review, compliance testing, compliance monitoring, and/ortrade surveillance. Ideally you will also have strong asset management experience. This is a 3-6 month...

  • Compliance Monitoring Officer

    1 week ago

    London, United Kingdom M&G plc Full time

    At M&G our purpose is to give everyone real confidence to put their money to work. As an international savings and investments business with roots stretching back more than 170 years, we offer a range of financial products and services through Asset Management, Life and Wealth. All three operating segments work together to deliver attractive financial...

  • Compliance Monitoring Manager

    2 weeks ago

    London, United Kingdom Lawes Consulting Group Full time

    Compliance Monitoring ManagerLocation: Home-Based £65,000 - £75,000 Contract Type: 12 Month FTCAbout the RoleAre you a seasoned compliance or second-line audit professional looking to make real impact in a purpose-led organisation?We’re looking for a Compliance Monitoring Manager to play a pivotal role in shaping and delivering our risk-based annual...

  • Compliance Monitoring Officer

    2 weeks ago

    London, United Kingdom eFinancial Careers Full time

    At M&G our vision is**:to become the best loved and most successful savings and investment business **and we're looking for people who are excited about joining us on our journey. We're digitally transforming and investing heavily in technology and innovation to develop new and improved customer propositions that really raise the bar for our customers.To...