• Pre trade: Review in a timely and accurate manner, any order requests to ensure the proposed trade would not breach client guidelines.
• Post trade: Carry out daily review of assigned accounts to ensure compliance with client guidelines and any additional regulatory requirements. Where issues arise, assist or carry out investigation of these and liaise with relevant departments as appropriate to resolve.
• Gain a strong understanding of assigned accounts and act as the main point of contact for any portfolio compliance issues that arise in relation to these.
• Manage assigned account guideline amendments, issuer restricted lists and counterparty restrictions. Liaise with relevant teams to assist in all account transitions.
• Complete compliance certifications for accounts as required. Escalate and reports errors internally.
• Ensure relevant policies and procedures are maintained and are distributed as appropriate. Identify and implement process improvements.
• Demonstrate understanding and familiarity with regulatory requirements relating to UCITS and AIFMD, including KVGs.
• Assist in various investment client projects, such as account reconciliations, system upgrades, etc.
You should be a graduate with one to two years’ experience of guideline monitoring, whether gained in Compliance or Operations.
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at email@example.com
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.