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Fixed Income Portfolio Compliance Associate

Information About This Job

Job Title: Fixed Income Portfolio Compliance Associate
Contract Type: Permanent
Location: London
Contact Name: Ben Kinley
Contact Email: Ben Kinley
Job Published: about 2 years ago

Job Description

About The Role

The Global Investment Control (GIC) department directly supports the firm's Investment Professionals by implementing investment decisions and facilitating the investment process.  Operating from locations in North America, Europe, and Asia, core functions include order management, portfolio construction, compliance, trade support and corporate action coordination.   These services support the management of equity and fixed income portfolios for retail, institutional and private clients.

Based in London, the Associate will play a key role in the Fixed Income Portfolio Compliance team focusing on the pre and post trade Fixed Income investment process.  This individual will work closely with traders, investment professionals, trade support, legal, marketing as well as the other Global Investment Control teams.  The successful candidate will:

  • Analyse compliance exceptions and coordinate the research and resolution of any issues with trading and investment group professionals.

  • Evaluate and improve the effectiveness of controls to better align with evolving business needs.

  • Draft client communications addressing compliance exceptions and resolutions related to client accounts.

  • Work collaboratively with London and Los Angeles-based peers to complete daily, monthly and quarterly compliance reports.

  • Investigate account guidelines and related rules to ensure completeness and accuracy of information based on current understanding of client and internal guidelines.

  • Review and validate client guidelines entered into compliance monitoring system.

  • May serve as a resource for and provide training/exposure to members of the department and other groups or work on cross-functional projects and initiatives.

  • Participates in a team or departmental projects and process improvement initiatives.

  • Additional areas of exposure may include working with IT development teams on system solutions and attending relevant workshop/conferences to understand industry practices/trends and apply as appropriate.


Qualifications and Skills

  • At least 2 years of financial services experience ideally in compliance or operations or a degree in relevant coursework

  • Knowledge of securities and the investment business (knowledge of fixed income and derivative products a plus)

  • Sound judgment, excellent analytical and problem solving skills

  • Ability to meet deadlines and work well with multiple priorities in a fast-paced environment is a must

  • Ability to work collaboratively in a team and independently 

  • Excellent attention to detail required

  • Effective written and oral communication with a  diverse group of associates including investment group, legal, and marketing

  • Self-motivated, takes initiatives and demonstrates commitment to and actively works to continuously improve skills and self

  • Fluency in Excel (knowledge of macros, v-lookups, pivot tables a plus) and an aptitude for understanding with data and systems flows

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