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Senior Compliance Executive (Investment Restriction CRD Coding Support)

Information About This Job

Job Title: Senior Compliance Executive (Investment Restriction CRD Coding Support)
Contract Type: Permanent
Location: London
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.con
Job Published: over 1 year ago

Job Description

Our client, a leading asset management firm in London is looking to appoint a Senior Compliance Executive (Investment Restriction CRD Coding Support).


About The Role

The primary role is to review, create, amend and test CRD( pre and post) rules for all applicable funds and accounts. Monitors pre and post trade compliance issues, including investment eligibility and diversification in according with the COLL rules and fund-specific rules as contained in the prospectus or investment management agreement to ensure that the rules are working properly.

As the controls for restrictions are system generated, there is a responsibility for the coding/testing/reviewing of the rules to ensure the controls are effective.


Key Responsibilities

  • Review of source documentation to extract investment restrictions that can be coded into the system (CRD) and provide feedback/input into the IMA/new client process.  This will involve liaison with the relevant internal team members/internal departments and global compliance offices.

  • Coding of rules in CRD trading system for Henley, Paris, and Frankfurt managed funds and As Of system for batch. Including global co-ordination for cross investment centres trading and/or dealing.

  • System testing of rules and co-ordination within the team excluding the investment restriction team, testing and sign-off from investment teams and reconciliation.

  • Global co-ordination and coding, i.e. insider, FCA/takeover panel threshold controls and reporting.  This will involve maintenance of the Compliance Block facility, ensuring that the necessary systems are updated to reflect the current blocks position.  This will involve working on a rota system to cover the hours of 8am until 6pm.

  • Identify any compliance CRD related issues and raise with internal/external teams across the Company

  • Act as a representative for UK Compliance on the Global Monitoring Working group to discuss, share and raise issues of a global nature.

  • Assist in advising the primary Advisory members and other interested parties on CRD compliance matters

  • Attend selected meetings/committees/projects as a representative of UK Compliance

  • You may be required to work such additional hours as are necessary for the proper performance of your duties without extra remuneration.

The post-holder will also occasionally be required to perform additional tasks that are consistent with the nature and level of responsibilities outlined above.


Skills & Experience

  • Substantial experience in Compliance, within asset management or financial services Good knowledge of requirements of FCA Handbook, in particular, COLL, COBS, SYSC would be preferable

  • Knowledge of derivatives would be preferable 

  • PC Literate, especially in CRD

  • A demonstrated ability to understand a wide range of regulatory requirements applicable to investment managers, with the ability to implement appropriate procedures to comply with these requirements.

  • A good understanding of the FCA conduct of business rules

  • A good understanding of the technical nature of the business

  • Would typically be degree qualified

  • A professional qualification is desirable but not essential


Candidate Specification

  • Strong interpersonal skills to be able to work effectively with a network of colleagues

  • Proven relationship management skills

  • Able to operate effectively and succeed in a complex, non-hierarchical, entrepreneurial environment

  • Able to motivate staff with whom there is no direct reporting relationship

  • Personal credibility

  • Resolves issues by escalation or decision, as appropriate

  • Contributes effectively in meetings

  • Displays well developed and effective negotiating skills

  • Builds close working relationships with other areas of the busines

  • Is clear, articulate, credible and persuasive in all communications

  • Liaises effectively at all levels, internally and externally

  • Shares product expertise with colleagues

  • Maintains high standards for written and verbal presentations

  • Effective time management skills

  • Excellent interpersonal skills, highly organised

  • Ability to work under pressure

  • Excellent team player

  • The ability to interact with senior management and investment professionals

  • Strong written and oral communication skills


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