Role details

Compliance Generalist- Asset Management

London   •  Permanent

Bullet points

  • Compliance generalist position is seeking a candidate from an asset-management
  • background, SEC knowledge beneficial, stand-alone role based in London

About Our Client

An asset management company specialising in corporate and structured credit markets. The firm manages alternative and long only funds including separately managed accounts for institutional investors and high net worth investors.

Job Description

This This Compliance Generalist- Asset Management role involves:

  • Providing regulatory advice
  • Analysing trades for compliance with client investment restrictions/limitations
  • Conducting various compliance and surveillance reviews
  • FCA filings
  • Reviewing marketing materials
  • Conducting compliance training
  • Identify and effectively escalate potential material issues and ways to address them
  • Perform other duties of a similar or related level and assist with special projects as necessary or assigned
  • Liaise and interact with compliance consultants
  • Assist in certain Operations functions:
  • FX hedging and FX settlements
  • Support of structured credit pools
  • Collateral management
  • Cash management
  • Regulatory data validation

All Desktop Applications, Charles River (Trading System) Bloomberg (Data), VPM (Accounting System), [WSO (Loan Administration and Data), STaARS (Reconciliation)]

The Successful Applicant

This This Compliance Generalist- Asset Management role requires:

  • Bachelor's degree in finance or related field
  • Experience in financial services in a compliance role
  • Regulatory knowledge of FCA rules concerning investment advisers
  • Proficiency with MS Office applications - Word, Excel, and Outlook
  • Self-driven, proactive, and works well under pressure
  • Highly organised and detail oriented
  • Strong communication (oral and written), relationship-building, and interpersonal skills
  • Ability to work independently, multi-task as well as collaborate with others
  • Very good analytical and problem solving skills and a strong desire to resolve issues as they occur
  • Able to understand the processes and financial instruments that generate the transaction types and positions that are reconciled and the controls around them

What's on Offer

Please enquire- competitive

Apply for this job

Click the Apply or LinkedIn button below or contact Heather Ninnes on +44 20 7776 5936 quoting job reference 13765973
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