Investment/ Guideline Compliance Officer
- Salary£50k - £70k Yearly
- LocationLondon, London
- SectorCompliance & Regulation, Fund/Asset Management
- PublishedJuly 24th 2012
Job Title: Investment Compliance Officer
The Investment Compliance Officer will provide evaluation, development, maintenance and oversight of regulatory compliance programs within front office for the Compliance department. They will advise and monitor front office trading and portfolio management with close liaison to the Global Compliance team.
· Provide pre- & post- trade compliance support to Portfolio Management and Trading staff.
· Extract investment guidelines from prospectuses, investment management agreements, and other contractual constituent documents.
· Assist with the general administration of Charles River, including rule creation, testing, and production enhancements.
· Research post trade exceptions and escalate to front office staff when necessary.
· Participate in the design, refinement and execution of internal controls and corporate compliance procedures
· Surveillance and forensic testing of the front office compliance program
· Derivative exposure monitoring
· Monitor soft dollar allocations
· Transaction reporting
· Takeover Panel
· 5+ years front office asset management experience with a broker or investment manager
· Well-developed computer skills; intermediate to expert use of MS Office is a must
· Self-motivated individual who has high standards for accuracy
· Work well independently and as part of a team
· Exceptional written and verbal communication skills
· Great interpersonal and time management skills
· Previous experience with a trade compliance and/or order management system is a plus
· FSA registered a plus
· German CAG experience a plus
· Bachelor's degree in Finance, Accounting, Economics and/or equivalent work experience
If you are interested in the above opportunity, please forward your CV