Description
Keywords: asset management, compliance, Front Office, fca, cobs chapter 11, regulatory, change, policy, guideline, restrictions, risk, advisory, investment, asset, Fixed Income, FX, absolute return, money markets, otc, derivatives
My client is a leading global Investment Management business looking to hire a tenacious Front Office Compliance Analyst, to assist the Front Office Compliance Manager into preforming compliance activities, predominantly as they relate to the business' Front Office initiatives. This is a user facing role, with daily interaction with the Portfolio Managers, Traders, and various other Front Office colleagues such as CIOs, Desk Heads and Research Analysts.
The Front Office Compliance Analyst will be expected to:
- Provide clear and consistent technical advice and guidance to Front Office colleagues in respect of the FCA's rules, with a good understanding of COBS Chapter 11 (best execution).
- Proactively review the implications and impact of Front Office related regulatory change and assist in formulating Insight policy, assisting the business in exploring any commercial opportunities arising.
- Help in day-to-day compliance oversight activities undertaken by the team including market surroundings, management of the restricted list, advising on guideline restrictions, cross trade reviews, conflicts of interest, adherence to global codes (FX and money market), Proxy voting and research.
- Provide compliance input into a range of projects/initiatives including new product launches, market abuse risk assestment and other development initiatives.
The successful Front Office Compliance Analyst will possess:
- Proven background and understanding of Asset Management with some experience of undertaking a compliance advisory role.
- Strong relationship skills with the ability and confidence to engage proactively with Portfolio Managers, Traders, and colleagues at all levels.
- A good knowledge of the FCA's regulatory rules as they apply to investment management.
- Understanding of asset classes and products relating to Asset Management, notably: Fixed Income, FX, Absolute Return, Money Markets, OTC Derivatives.
- Attention to detail and accuracy.
- Strong analytical skills with a proactive, self-supportive approach.
The role will start remotely but ideally return to office work in December 2021.
Please get in touch for more details.
InterQuest Group is acting as an employment agency for this vacancy. InterQuest Group is an equal opportunities employer and we welcome applications from all suitably qualified persons regardless of age, disability, gender, religion/belief, race, marriage, civil partnership, pregnancy, maternity, sex or sexual orientation. Please make us aware if you require any reasonable adjustments throughout the recruitment process.