Senior Risk & Investment Compliance Specialist Senior Risk & Investment Compliance Specialist …

Logan Sinclair
in London, United Kingdom
Permanent, Full time
Last application, 25 Mar 21
Competitive
Logan Sinclair
in London, United Kingdom
Permanent, Full time
Last application, 25 Mar 21
Competitive
Our client, a UCITS fund platform, is looking for a Senior Risk & Investment Compliance Specialist to their risk team based in London. Investment compliance, portfolio compliance, SQL, Risk Metrics, UCITS, AIFMD, ESMA.

Responsibilities:

  • Providing full risk and investment compliance oversight eg. assessment and development of operational and market risk framework as well as investment compliance framework 
  • Developing and establishing investment compliance framework and market risk framework
  • Managing the exposure to and understanding of the cross-risk markets and associated investment/trading risks, building relevant processes as and when necessary
  • Ensure compliance with fund prospectus, global exposure, leverage limits under EU regulation
  • Work closely with Product Development teams to structure new fund strategies in line with local regulations
  • Producing periodic Board and regulatory reports including risk exposures and compliance breaches

 

Qualifications

  • 7 + years of relevant professional experience, gained within an Asset Management or Hedge Fund company
  • Have a good academic background, a relevant post-graduate qualification (e.g. Masters degree, CFA, FRM etc.) would be advantageous
  • Be knowledgeable of investment risk and restrictions under UCITS and AIFMD, including understanding of ESMA guidelines
  • Be able to work independently as well as part of a team in a busy environment, to identify, research, and resolve any exceptions
  • Demonstrate good attention to detail, and the ability to document working procedures
  • Have strong interpersonal skills, in order to interact effectively with colleagues and with senior management
  • Good knowledge of post-trade compliance systems e.g. Charles River, Thinkfolio, Aladdin etc.
  • Advanced Excel, VBA and SQL knowledge.
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