COMPLIANCE OFFICER - ASSET MANAGEMENT
My client is aleading Asset management firm who is looking for an experiecned compliance officer who as experience in Asset management or Asset servcing to assist with the organization, administration and enforcement of compliance.
The purpose of the role is to
1). Assist with compliance to ensure that the company complies with regulatory requirements in numerous juristictions through the effective use of policy guidelines, monitoring programmes, and compliance reviews and communicating these to the Risk & Compliance Manager.
2). Liaising with Clients on compliance matters.
Overview of the role
The role will have a varied job mandate, responsibilities will include: monitoring adherence with investment mandate restrictions, producing and reviewing daily exception reports via the Compliance module, coordinating the resolution of exceptions as appropriate with the appropriate business area and liaising with Clients.
Other duties will involve checking rule changes, communicating these to our Risk & Compliance Manager and any ad hoc work in conjunction with the Risk & Compliance Manager.
• Day to Day responsibility for exception reporting via our pre-compliance ITG MacGregor IC application (Monitoring).
• Individual fund investment compliance reviews (This will involve comparing for each individual fund, its actual assets, liabilities and holdings (which are included in the Fund Valuation) to the Investment Mandate for that fund (Post-compliance).
• Ensuring individual fund rules are coded to our pre-compliance module.
• Maintain compliance policies and procedures
• Advise the Risk & Compliance Manager on compliance issues and risks
• Ensuring all compliance records are appropriately managed
Qualifications and Experience
• ACOI qualification or equivalent desirable
• MiFID (Markets in Financial Instruments Directive) experience desirable
• Awareness and knowledge of current regulatory requirements would be an advantage.
• Very strong project management skills and organisational skills including time management and prioritisation skills.
• Excellent oral and written communication skills.
• Teamwork with the ability to manage project tasks across various departments.
• Strong problem solving/decision making skills
• Self Management/Professionalism including a thorough approach and attention to detail with a right first time attitude
Psychometric profiling will be used as part of the recruitment process.
For further detail on this role contact Hugh on 014744634