Compliance Advisory Officer

3 weeks ago

London Area, United Kingdom Compliance Professionals Full time

THE COMPANY:


Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice.










THE RESPONSIBILITIES:


  • To build a close working relationship with each of the business units to support Compliance matters as required.
  • To work principally with the Head of Public Markets Compliance Advisory, and Deputy Head of Group Compliance, and other members of the Compliance Team - as required, to support the provision of Compliance advice.
  • To track industry developments, for example best practices from trade associations and apply and roll these out within the Business.
  • To assist with the provision of ad-hoc advice to the Public, and Private Markets Groups.
  • To support ongoing surveillance of the activities of the Public Markets Group in relation to key regulatory processes, including: MAR surveillance, best execution, allocations, sanctions lists, shareholding disclosures and filings, position limits, exceptions reporting, and maintenance of IT systems to manage these.
  • To support the management of engagement with approved expert networks.
  • To assist with the management of incoming market soundings.
  • To assist with the management of trade restrictions.
  • To assist with the management of Compliance workflows and the integration of a new reg tech system.
  • To manage the addition and removal of entries to Worldcheck and to investigate daily flags.
  • To assist with the management of external KYC requests.
  • To assist with updating and drafting policies, procedures and the Compliance Manual,.
  • To support engagement with the Operational Due Diligence Team on visits and reviews of external managers and key suppliers.
  • To assist with the maintenance of records relating to the Senior Management and Certification Regime.
  • To assist with the delivery of new joiner Compliance training.













EXPERIENCE REQUIRED:


  • 𝖬𝗎𝗌𝗍 𝗁𝖺𝗏𝖾 𝖨𝗇𝗏𝖾𝗌𝗍𝗆𝖾𝗇𝗍 𝖬𝖺𝗇𝖺𝗀𝖾𝗆𝖾𝗇𝗍 𝖾𝗑𝗉𝖾𝗋𝗂𝖾𝗇𝖼𝖾
  • Thorough knowledge of the UK regulatory framework.
  • Willingness to develop relationships at all levels in delivering pragmatic and proportionate compliance support, monitoring and training solutions
  • A good understanding of public market asset classes; including equity, credit, fixed income, derivatives and alternative investments.
  • Demonstrable experience of Public Markets Compliance.
  • Demonstrable experience of dealing with the regulatory change agenda, and in particular impact of Public Markets.
  • Working knowledge of Bloomberg and FundApps or other equivalent systems for monitoring Public Markets compliance.
  • Familiarity with Private Markets Compliance.

















For further information please contact Spencer Evans

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