Senior Compliance Specialist
Salary: £60-80k plus Negotiable
- Location: London - West End
- Category: Finance
- Job Ref: HB0911
Summary
A leading asset management company seeks a senior compliance specialist to be involved in all aspects of the work undertaken by the team on a day to day basis with a specific focus on management and monitoring of investment risks from a compliance perspective. Reporting to Global Head of Compliance.
Responsibilities
- Oversight of compliance monitoring for the investment business.
- Assisting in the resolution of rule breaches, trading issues.
- Handling client complaints related to investment business.
- Oversight of regulatory reporting.
- Handling regulatory enquiries.
- Oversight and review of SWORD system with regards to risk controls.
- Responsibility for review, oversight and controls around conflicts of interest.
Supporting Restricted list of issuers.
Restricted list maintenance, monitoring and reporting.
Experience / Skills
- +10yrs solid all round compliance experience in asset management industry.
- Sound knowledge of FSA regulations.
- Experience of fixed income products, ideally including credit and derivatives.
- Experience of pre-trade and post-trade mandate checking via Charles River.
- Experience in a firm managing both hedge and long only funds.
- UCITS funds experience.
- Knowledge of SEC/CSSF regulations desirable.
Contact
Nick Wilby
Direct: +44 (0)20 7596 2742
Mobile: +44 (0) 7785 742 874
Email: nickwilby@hartwellbuck.com