A global Asset Management boutique is currently seeking an Investment Compliance professional to join their experienced team.
The purpose of the Investment Compliance role is to identify regulatory and legal requirements relating to the monitoring of institutional portfolios to ensure compliance with guidelines. This role reports directly to the Head of Compliance and the ideal candidate will have experience in pre and post trade compliance.
- Post Trade: Daily review of assigned account to ensure compliance with client guideline and any regulatory requirements. Assist and carry out investigations of any arisen issues
- Pre Trade: Ensure the pre trade team provides relevant support to front office to ensure the proposed trade would not breach client guidelines
- Communicate and advise on portfolio compliance issues and reviewing investment guidelines when Portfolio Managers need assistance
- Involvement in enhancement of the Investment Compliance process
- Manage investment compliance effort in relation to European funds ranges
- Ensuring that all information is correct and that investment guidelines are able to be coded in the system with complete accuracy
- 4+ years' experience in financial services, preferably within a Asset Management
- Understanding of issues relating to Dublin and Lux funds under UCITS and AIFMD regimes
- Good knowledge of Compliance Systems, such as Bloomberg or Charles River
- Relevant knowledge of fixed income, derivatives, UCITS, and AIFMD
- Ability to work alone as well as part of a team with a proactive attitude