Description
DBFS are working with a boutique Investment House that are searching for a Investment Compliance specialist to join them on a initial 12 month contract based in London.The role will be reporting directly into the Investments Compliance Manager and will focus on all the day-to-day aspects of Investment Compliance including projects monitoring and management of all the Prospectus/Stock Exchanges and UCITS breaches, whilst also maintaining a broader reaching breach log.
There will also need to be ongoing supervision & surveillance of the trading floor for best execution, non market price transactions, as well as any suspicious trading activity
Responsibilities
* Develop and maintain the compliance projects which will be focussing on Investment Compliance & Order Management Systems (OMS)
* Implement & track compliance test plans as well as the results in the OMS
* Review and enhance Investment Compliance procedures and policies. These will need to reflect current regulatory requirements & will need to be in line with business wide changes to processes as well as workflows.
* Advise and monitor the business with regards to the practicalities of implementing and maintaining investment compliance procedures, policies and actions;
* Provide Investment Compliance monitoring, reporting, support, which will be both pre & post trade. This will also involve you working closely in line with the overall global framework
* Ensure local regulatory obligations are fulfilled. This will be done through the implementation and maintenance of robust investment compliance monitoring plans, including compliance risk assessments
Required experience
* 5 years + compliance experience within the financial services or investment banking industry
* Working knowledge of UK and EU legislation;
* Experience of dealing with the issues in the management of UCITS and other fund structures.
* It is essential to have Investment Compliance experience including working knowledge of investment compliance monitoring systems to be considered for this role
* Exposure to IT infrastructures & data inputs to the compliance monitoring systems
This is a 12 month Fixed-Term-Contract and the budget is up to £80,000 per annum.
For further information please contact Ryan Edwards-Pritchard OR forward an up to date CV.