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Senior Associate - Compliance

Information About This Job

Job Title: Senior Associate - Compliance
Contract Type: Permanent
Location: Oman
Industry:
Salary: Competitive salary
Contact Name: Ben Kinley
Contact Email: bkinley@lawsonchase.com
Job Published: 7 months ago

Job Description

This is a Trading Compliance monitoring role which must identify and prudently approve Public Markets trades on a live basis via the Bloomberg AIM platform. The job holder must have knowledge of internal controls and core policies that relate to Public Markets portfolio trading activity.  

 

About The Role

This is a Trading Compliance monitoring role which must identify and prudently approve Public Markets trades on a live basis via the Bloomberg AIM platform. The job holder must have knowledge of internal controls and core policies that relate to Public Markets portfolio trading activity.  

 

Key Responsibilities

  • The position will work with the Compliance Manager to review portfolio Investment Management Agreements (IMA's) and set up and modify (as needed) Bloomberg AIM coding for new and existing mandates.

  • On a day to day basis the position will work on approving live trades with knowledge and awareness of margin and exposure limits and document any discussions with regards to exceptions.

  • The position will regularly engage with the Public Markets team and discuss trades and resolve any issues related to respective trades..

  • The position will also communicate any trading related approvals to all Stakeholders such as Finance Operations, Custody and Counterparty Brokers.

  • Participate in developing and coordinating the delivery of plans to put in place Compliance activity where it is otherwise absent or unsatisfactory.

  • Conducts regular workshops for all staff and new staff to ensure that staff understand the concept of compliance and appreciate the value of complying with all policies, procedures and laws and regulations relevant to the company. To achieve this, there must be highly skilled and pro-active relationship management throughout the organisation to ensure positive development and clear identification of the contribution made.

  • Effective management of internal and external relations using tact, persuasion and teamwork, exchanging routine and non routine information clearly so that the recipient can understand and act upon it as required.

  • Undertakes regular follow up on the agreed actions given in the compliance reports.

  • Communication and Working Relationships

    • Ensure that any new laws or regulations issued are maintained in the department and that staff of the same department are made aware of any new laws or changes to existing laws.

    • The role will be expected to work flexibly to cover Public Market team trading hours including Friday.

    • The role will be expected to coach junior staff and other colleagues on Compliance monitoring and transfer product knowledge.

  • Framework, Boundaries and Decision Making

    • Make recommendations of matters related to Compliance.

 

Skills & Experience

  • Educated to a degree level.

  • The post holder must hold a recognized Bachelors degree in a related subject e.g. accounting, economics, finance..

  • An overall experience of 5+ years within ideally an Asset Manager, within an Active portfolio management trading compliance environment.

  • Has strong understanding of Investment Management Compliance

  • Has a strong product knowledge of Equities, Fixed Income, Multi Asset portfolios and basic derivatives.

  • Ability to work independently and resolve issues.

  • Advanced knowledge and proven ability in the use of compliance monitoring systems such as Bloomberg AIM.

 

Key Competencies

Intellectual  

  • Demonstrate attention to details.

  • Identifies and resolves problems in a timely manner.

  • Gathers and analyses information skillfully.

  • Develops alternative solutions.

  • Assesses own strength and weaknesses.

  • Displays critical/creative thinking.

  • Possesses necessary expertise to accomplish all tasks.

  • Learns new skills to improve job performance.   

 

Leadership

  • Exhibits sound and accurate judgment and logical reasoning.

  • Uses resources effectively and efficiently.

  • Anticipate and plans accordingly.

  • Has the willingness to make decisions within agreed authority.

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