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Our client, a City based MultiAsset fund manager is seeking a Compliance Monitoring candidate seeking their next opportunity. The business has a current AUM of over £10+ billion and employ's over 170 employees in the UK. You will have around 1-3years prior experience and provide timely completion of risk-based monitoring and surveillance as directed by the Compliance Monitoring Manager in accordance with the Monitoring Plan, in particular, Market Abuse, Financial Crime and Order Handling and Execution. If you have any experience working with Bloomberg, this would be benefical but not mandatory (please highlight skill on CV if you have this)
Monitoring/SurveillanceAssist with the timely completion of the firms Compliance Monitoring Programme, conducting monitoring and surveillance checks of the front office and wider business to identify and escalate any incidents, errors, and breaches. Recording, and tracking to resolution any associated Compliance Actions. Including, but not limited to the areas of:Market Abuse Trade SurveillanceElectronic Communications SurveillancePersonal Account Dealing Order Execution, Allocation and Aggregation Financial Crime Disclosure and Transparency Reporting and Takeover Panel notifications. Provide real time support to the Compliance Advisory Team in the areas of:Market Soundings and Restricted ListsInvestment Mandate and Investment and Borrowing ComplianceIssuer Enquiries
ReportingAccurate and timely preparation of MI and Reports to the Head of Compliance Monitoring, and Head of Compliance Advisory, summarising analysis, and findings.
Error/Breach Recording & EscalationEnsure that all incidents are escalated and recorded timely through the appropriate internal mechanism, and that remedial action is undertaken and completed as appropriate.
Support of CommitteesPerforming ad-hoc secretarial duties for in-house committees.Production of regular/ad-hoc reports to relevant Committees, as required.
General Compliance Support General support to the Head of Compliance Monitoring, Head of Compliance Advisory, Chief Operating Officer and Director of Compliance & Legal, as required.Provision of open and proactive dialogue, with key business stakeholders.Research connected with new products or projects as required.Assist with the day-to-day management of agreed projects.Maintain a strong understanding of changes in regulatory requirements.Assist to continuously develop the monitoring/surveillance programme and methodology.Maintaining up to date desk-based procedures.Timely completion of Regulatory training.Promote a culture of compliance.
CompensationSalary range offered is £34,000 - £38,000 - plus benefits and bonus. City based HQ
