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Compliance Manager / Asset Manager

Information About This Job

Job Title: Compliance Manager / Asset Manager
Contract Type: Permanent
Location: London
Industry:
Salary: Up to £60,000 base
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: about 1 month ago

Job Description

We are looking for an ambitious and tech-savvy compliance generalist to join our client's compliance department providing support to a fast-growing international investment management company.  Although the role will take primary responsibility for certain tasks, working in a team of four will provide exposure to the entire range of compliance activities across all locations.

 

About The Role

The role primarily manages and oversees day-to-day operational compliance, with the support and guidance and direction of the CCO and wider compliance team.

The role generally supports the CCO in carrying out the main duties related to the Compliance function.

 

Key Responsibilities

The role’s main duties include but are not limited to the following:

  • Manage the Compliance Monitoring program including but not limited to:

  • Best Execution and Market Abuse monitoring via Bloomberg’s Transaction Cost Analysis tool (BTCA)

  • Non-trade monitoring 

  • Appropriate updates/enhancements via risk-based approach

  • Appropriate escalation to the CCO of raised flags/issues

  • The role manages the key day-to-day operational compliance tasks including but not limited to:

  • PA Dealing reviews/approvals

  • Gifts approval

  • Restricted list review, approval and maintenance

  • Major shareholding and short selling disclosures

  • Coding investment guideline restrictions, particularly around new fund launches and as part of annual review

  • Manage the Compliance training program

  • Ensure the proper and timely maintenance of the various compliance registers and logs including but not limited to:

    • PA Dealing

    • Gifts

    • Conflicts

    • Breaches

    • Complaints

  • Oversee the fund registration process and liaise with the relevant 3rd party providers accordingly.

  • Provide support or take the lead with key regulatory projects as and when assigned/required.

  • Provide support or take the lead with key UK and US regulatory filings as and when assigned/required.

  • Provide support or take the lead with the preparation of key management information as and when assigned/required.

  • Provide support or take the lead with the development, maintenance, or update of Compliance related policies and procedures.

 

Skills & Experience

  • Minimum 2 – 3 years relevant compliance experience within an investment manager

  • Past experience of using Bloomberg’s Transaction Cost Analysis tool (BTCA) (or similar TCA tool) to conduct monitoring and testing.  Ability to understand this data in order to raise and challenge potential areas of concern

  • Experience of coding investment guidelines and restrictions

  • Strong Excel knowledge

  • Knowledge and understanding of front and back office systems and how data flows between the two

  • Knowledge and understanding of UCITS, AiFMD, MAR and general FCA rules.

  • Ability to deal with colleagues of all levels of seniority.

Ref: | Published: 15th Sep 2017