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Our client is an emerging markets investment manager.
· Monitoring regulatory changes
· On-boarding of clients and counterparties (includes meeting the onboarding requirements of external parties the firm does business with, e.g. brokers, banks, service providers)
· Carrying out compliance monitoring per the annual programme
· Draft/ review policies and procedures
· Company secretary: drafting minutes and resolutions, preparing meetings and meeting packs, taking minutes, maintaining corporate records
· Research: ability to research points of law and regulation, assimilate new requirements, advise on them and lead implementation of them
· Draft /review corporate and commercial documents and agreements (NDAs, terms of business, term sheets, fund documentation)
- The compliance role is a regulatory compliance role. Investment compliance (i.e. monitoring live trades, etc.) is handled by the risk team.
- This is not an (external) client facing role. The candidate will receive instructions mainly from their line manager.
The successful candidate will have a generalist compliance background from a fund/asset/investment manager and has experience with AIFMD. Ideally you will have some sort of legal background i.e. hold the LLB/GDL/LPC and/or been a Paralegal within a Financial Services institution.