Senior Compliance Officer - Investments

  • Highly Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • LMA
  • 16 Feb 18 2018-02-16

My client seeks to hire an experienced Senior Compliance Officer for its Investment Compliance function. This role will be responsible for implementing and executing the pan-European compliance programme (advisory, training, monitoring and reporting) related to trading, portfolio management and research.

Responsibilities

Advisory: 
* Be part of a team that provides advisory support to investment professionals at with specific focus on the business in London. 
* You will be expected to be a senior expert across all asset classes on the following topics: 
 To advise and assist the Investment division on a wide range of Investment related compliance matters, acting as a trusted advisor to the business 
To advise on trading related matters such as best execution, cross-trading, trade aggregations, and equitable allocations
Advise on market abuse matters, including insider dealing, market manipulation, and market soundings
Provide broader senior compliance Investment advice as and when required to senior Investment staff as and when required
* Stay abreast of local UK industry practices and regulatory approach to the above related subject matters and participate in related industry working groups.

Monitoring: 
* Contribute to the implementation of best-in-class trading and market abuse monitoring tool(s) and the regular update of such tools
* Be responsible for executing conducting trading and market abuse monitoring and reporting on results
* Support the Investment Compliance team in thematic Compliance monitoring and investigations across the Investment Division
* Deliver relevant elements of the compliance monitoring programme, in collaboration with others as appropriate, with an ability to provide insightful and robust challenge and well written reports
Training: 
* Be responsible for contributing to the development and delivery of regular and ad hoc compliance training on investment compliance matters
Reporting:
* Provide relevant updates for Group Board reports Such would include the responses to relevant regulatory enquiries as directed.
Projects: 
* Your role will also include managing certain investment compliance projects (driven either by business or regulatory initiatives) and being the compliance

Experience

 

* Large international asset manager experience, whether through employment, audit, or consulting

* Strong oral and written communication skills.
* Demonstrated ability to initiate and drive projects to completion.
* Demonstrated ability to manage senior management relations and internal stakeholders.
* Broad technical (markets and regulatory) knowledge, including MIF, MAD II/MAR UCITS, AIFMD, EMIR. 
* Trade monitoring and surveillance experience 
* Strong self-management skills and discipline - ability to take direction as well as take initiative and get things done under pressure and tight deadlines, while providing complete transparency to managers and other team members
* Team player and ability to build positive relationships internally and externally
* Experience with Bloomberg AIM and related compliance and audit modules