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Compliance Officer

Information About This Job

Job Title: Compliance Officer
Contract Type: Permanent
Location: London
Industry:
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: 2 months ago

Job Description

We are recruiting on behalf of a London based asset management firm, who are looking to hire a Compliance Officer to join their busy team.


 

About The Role

You will assist with administering the firm’s investment compliance efforts, which includes identifying regulatory and legal requirements relating to the monitoring of institutional portfolios on an ongoing basis to ensure compliance with guidelines. Assist Head of Compliance in cursory oversight/supervision of pre and post trade compliance.

 

Key Responsibilities

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  • Post trade: Carry out daily review of assigned accounts to ensure compliance with client guidelines and any additional regulatory requirements. Where issues arise, assist or carry out investigation of these and liaise with relevant departments as appropriate to resolve. Complete compliance certifications for accounts as necessary.

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  • Pre trade: Ensure pre-trade team is providing relevant support to investment desk by reviewing timely and accurately any order requests to ensure the proposed trade would not breach client guidelines.

  • Support new and existing client guideline negotiations for London managed accounts, including any KVG, UCITS and AIFMD funds to be managed by any other affiliate. Support new and existing client guideline negotiations for London managed accounts, including any KVG. Incorporate new or revised guidelines as notified by the client and ensuring all systems are properly updated.

  • Identify, investigate and report breaches and errors and implement safeguards to prevent further occurrences.

  • Communicate portfolio compliance issues clearly and work closely with Client Services Executives, Portfolio Managers, Legal & Compliance management and Investment Support to resolve compliance issues.

  • Responsible for managing investment compliance efforts in relation to European Legg Mason fund ranges. Understanding and familiarity with issues relating to Dublin/Lux funds under UCITS and AIFMD regimes.

  • Manually reviewing guideline restrictions that cannot be coded into Compliance Service to ensure portfolio compliance.

  • Identify and implement process improvements, including issues relating to manual tests.

 

Skills & Experience

  • Ideal candidates will possess a recognized degree

  • Additional professional qualifications are a plus.

  • Approximately 5 years prior experience in the field

  • Attention to detail

  • Strong communication and analytical skills

  • Being able to work in a busy environment

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  • Self starter that is also able to work as part of a team, with pro-active attitude towards accomplishing tasks

  • Good knowledge of fixed income, derivatives, UCITS, KVG, and AIFMD

  • Good knowledge of compliance systems and Excel; Bloomberg would be an advantage

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Ref: | Published: 13 Mar 2019