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This is a broad role where the successful candidate would liaise closely with the business and support areas in relation to all Compliance matters and assist the existing head of compliance with the following;
Understanding and implementation of UK and relevant international filing obligations for European jurisdictions.
*Knowledge of short sale regulations in UK and other European jurisdictions required.
Proactively monitor the UK Compliance Calendar including assisting with FCA filings in Gabriel, submission of applications to FCA for registration and de-registration of employees performing control functions and updating and drafting of Compliance Policies.
Monitor compliance with the Firm's Code of Ethics in relation to PA Trading, Gift and Entertainment, Outside Business Interests and Private Investments.
Review, monitor and track the use of consultants and experts.
Best Execution MiFID II- Monitor trading activities in relation to best execution, annual reviews and policy updates as well as top 5 venue reporting.
Electronic communications- Review email and recorded telephone calls.
Completing AML/KYC/RDC check
* Assist with analysis and implementation of regulatory change.
Assist with compliance training.
Knowledge of insider dealing related issues and restricted list/wall crossing issues; Advise on MNPI.
Ideal Candidate Qualifications:
The ideal candidate for this role is an individual with extensive relevant compliance experience in alternative investment management, FCA or banking.