COMPLIANCE GENERALIST MANAGER/FIXED INCOME -Asset Manager-London - City, London, United Kingdom, EC1A2
Our client is a highly regarded multi-jurisdictional Asset Manager with over £100 Billion under management based in London
You will be acting in a generalist role supporting the head of compliance and your work will include assisting with the compliance monitoring programme (investment guideline monitoring is also preferred but not a deal-breaker) and advisory work. You will also be responsible for the following;
Main Purpose of the Role
Monitor investment activity to ensure compliance with client guidelines, regulatory rules, prospectuses, and policies and procedures both on an automated and manual basis.
Research potential violations and escalate as needed to resolve.
Prepare client certification and Board Reports as required.
Review changes to client guidelines and work to update Aladdin as needed.
Assist in on-boarding and compliance setup for new accounts as needed.
Respond to ad hoc requests regarding trading and fund information.
Provide regulatory advice and guidance to the business as required on existing regulations and changes to regulations, assisting with project and implementation plans as required.
The successful candidate will be a mature and very responsible individual who is used to working on their own initiative and will be able to pick up unfamiliar issues quickly
Degree educated is preferred, legal or accounting background also welcome
Minimum of 2/3 years working within an Asset Management, Investment Advisor, or similar, preferably within the compliance department
Proven experience of working in a similar role within an asset management organization; good knowledge of fixed income instruments (including derivatives), financial markets or a compliance background is highly beneficial;
Familiarity of applicable European Directives and Regulation, including but not limited to MiFID, MAR, AIFMD, GDPR, UCITS V and the Financial Conduct Authority's Handbook;