Compliance Analyst - Fixed Income

  • 40-55K
  • London, England, United Kingdom
  • Permanent, Full time
  • Optimus E2E
  • 22 Apr 19

Compliance Analyst to support Fixed Income. Based in London and reporting to the Fixed Income Compliance Director, the Compliance Analyst will be part of the team responsible for ensuring that all portfolios managed by the Fixed Income unit are in compliance with applicable regulatory and contractual requirements. The individual will be based in London but will interact with members of wider compliance team and business across the firms Fixed Income’s locations globally.

Portfolio Compliance

• 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. 

• Work closely with Portfolio Management, Trading, and Operations to manage trade day alerts through BlackRock Solutions Aladdin application. 

• Prepare client certification and Board Reports as required. 

• Review changes to client guidelines and work with BlackRock Solutions 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. 

Compliance Monitoring 

• Assist with the delivery of the compliance monitoring programme
Regulatory Advice 

• 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.


Team Support 

• Assist in providing documentation required for audit requests. 

• Participation and completion of assigned tasks for team projects and initiatives.