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Senior Compliance Officer - Investment Compliance

  • Location: London
  • Sector: Compliance
  • Salary: Negotiable
  • Job type: Permanent
  • Date posted: 13/02/2018
  • Job reference: 070118
This vacancy has now expired.

*My client seeks to hire an experienced Senior Compliance Officer for its Investment Compliance function. This role will be responsible for implementing and executing the pan-European compliance programme (advisory, training, monitoring and reporting) related to trading, portfolio management and research.

* Be part of a team that provides advisory support to investment professionals at with specific focus on the business in London.
* You will be expected to be a senior expert across all asset classes on the following topics:
o To advise and assist the Investment division on a wide range of Investment related compliance matters, acting as a trusted advisor to the business
o To advise on trading related matters such as best execution, cross-trading, trade aggregations, and equitable allocations
o Advise on market abuse matters, including insider dealing, market manipulation, and market soundings
o Provide broader senior compliance Investment advice as and when required to senior Investment staff as and when required
* Stay abreast of local UK industry practices and regulatory approach to the above related subject matters and participate in related industry working groups.

* Contribute to the implementation of best-in-class trading and market abuse moni-toring tool(s) and the regular update of such tools
* Be responsible for executing conducting trading and market abuse monitoring and reporting on results
* Support the Investment Compliance team in thematic Compliance monitoring and investigations across the Investment Division
* Deliver relevant elements of the compliance monitoring programme, in collaboration with others as appropriate, with an ability to provide insightful and robust challenge and well written reports
* Be responsible for contributing to the development and delivery of regular and ad hoc compliance training on investment compliance matters
* Provide relevant updates for Group Board reports Such would include the responses to relevant regulatory enquiries as directed.
* Your role will also include managing certain investment compliance projects (driven either by business or regulatory initiatives) and being the compliance


* Large international asset manager experience, whether through employment, audit, or consulting

* Strong oral and written communication skills.
* Demonstrated ability to initiate and drive projects to completion.
* Demonstrated ability to manage senior management relations and internal stakeholders.
* Broad technical (markets and regulatory) knowledge, including MIF, MAD II/MAR UCITS, AIFMD, EMIR.
* Trade monitoring and surveillance experience
* Strong self-management skills and discipline - ability to take direction as well as take initiative and get things done under pressure and tight deadlines, while providing complete transparency to managers and other team members
* Team player and ability to build positive relationships internally and externally
* Experience with Bloomberg AIM and related compliance and audit modules

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