• Monitor investment activity on a pre and post trade basis 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
• Prepare client certification and Board Reports as required.
• Review changes to client guidelines and update system as needed.
• Assist in on-boarding and compliance setup for new accounts as needed.
• Respond to ad hoc requests regarding trading and fund information.
The successful candidate must have a minimum of two years’ experience of guideline monitoring, whether gained in Compliance or Operations.
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at email@example.com
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.