Compliance Professionals
Senior Compliance Officer - Investment Compliance
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THE COMPANY:
Our client is one of the UK’s leading investment management companies, seeking a Senior Compliance Officer. The ideal candidate will have strong asset management experience, specifically within guideline monitoring and coding.
THE RESPONSIBILITIES:
- Key stakeholder in client onboarding investment restrictions and investment restriction amendment processes.
- Reviewing draft IMA documentation to identify guidelines that require coding; equally identifying those that cannot be coded for discussion with relevant business areas.
- Code, assign, test and approve guidelines in the monitoring system (BlackRock’s Aladdin) with accuracy.
- Daily pre and post trade compliance monitoring across regulated and segregated portfolios.
- Managing compliance breaches efficiently to closure, ensuring accurate maintenance of records to support submissions and queries raised by internal and external stakeholders (Clients, Depositories, Auditors). Maintaining a good relationship with Front Office and the wider business.
- Consulting with front office on appropriate investment compliance and operational considerations impacting asset allocation, concentration and risk management.
- Overseeing and advising on adherence to application regulations including UCITS and NURS requirements.
- Collaborating with Fund Managers, Dealers, Legal Team, Client RMs and the wider Risk and Compliance function to successfully manage identified risks, breaches and enhance mitigating controls.
- Keeping abreast of regulatory developments and assessing any impact on Investment Management activities.
- Assisting the wider Compliance team where appropriate.
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EXPERIENCE REQUIRED:
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- Strong experience in Asset Management.
- Working knowledge of all asset classes.
- Experience within guideline monitoring and coding.
- In-depth knowledge of UCITS/NURS AIFMD Regulations applicable to Investment Management activities (i.e. diversification and spread rules).
- Experience in UK Authorised Funds, Irish ICVCs and Luxembourg SICAVs.
- Aladdin experience essential.
- Measurable attention to detail/accuracy.
- Solid verbal and written communication skills.
- Ability to articulate complex matters into simple terms.
For further information please contact Spencer Evans
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