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Experience in asset management compliance and/or risk working knowledge.
Background in dealing with international institutional clients
Good knowledge of European (UCITS, MiFID, EMIR) and US (Investment Adviser/Investment Companies Act) regulatory requirements would be an advantage
Client Interaction: dealing with client compliance & risk enquiries from allocated client's e.g. general compliance reporting, due diligence questions, contract renewals and compliance certifications.
Responsibility for ensuring the risk framework reflects key company risks and take input from business quarterly and run updated reports for business
Ensure that errors are properly handled by investigation i.e. validating business proposals and looking for further enhancements. Formal reporting (Compliance & Risk Committee and if necessary, the Board)
Responsible for co-ordinating and supervising the operation of the rolling risk-based monitoring programme. Ensuring that appropriate records are kept to evidence comprehensive coverage, that reviews are performed, completed and followed up on a timely basis.
Guideline Compliance Process (LVTS): various duties related to ensuring that the firm's guideline compliance controls remain effective
Compliance Projects: ad hoc duties related to development of processes within the team, or the wider business which require compliance input, and any other specialist tasks.
Background & Experience
Degree and IMC/CISI or other relevant investment management/compliance qualifications
Excellent communication/presentation skills
Well organised working style with good attention to detail
Sound judgement and self-confidence but should be prepared to listen and take-on other viewpoints
Ability to be commercially aware and provide solutions
Clear team focus i.e. a team player who is prepared to learn from colleagues, share knowledge with them and get involved in all aspects of the team's activities
Gravitas and potential leadership qualities
Offer solutions and add value
Adaptability and good problem-solving skills
Please note that due to the high volume of applicants responding to our adverts we are regrettably not able to feedback on all applications; only successful candidates will be contacted