One of the leading global Investment Management
Firms in London is currently recruiting for a
Compliance Advisory candidate to join their
Front Office Advisory team.
In the Compliance Advisory team your main responsibilities will include:
Liaising with portfolio managers, dealers and other investment staff on regulatory matters including the eligibility of instruments within portfolios and the application of the firms compliance policies, e.g. error correction, fair allocation, best execution, inside information and wall-crossings, MiFID I transaction reporting, short selling and EMIR;
Providing support to business operations functions on regulatory reporting issues;
Working on, and leading where required, specified compliance projects and initiatives; in connection with the interpretation and implementation of new regulation (e.g. SFTR and MiFID II);
Responsible for ensuring timely advice and support on compliance matters related to business projects and business strategy;
The successful candidate will have:
Experience within a trading environment, excellent communication skills and a strong personality, combining energy, enthusiasm, resilience, tenacity, diplomacy and above all, sound judgement under pressure;
Ability to articulate complex issues in a clear and concise manner. Strong presentation skills and effective in writing;
Significant financial services experience with a focus on regulation;
Excellent knowledge of either equity, fixed income and/or derivative asset classes;
Knowledge of Securities Lending, Transaction Reporting, Short Selling and EMIR a distinct advantage.