Compliance Monitoring Officer

Compliance Monitoring Officer/Asset Management/6 months contract

Leading Investment Management firm with offices around the globe is currently looking for a Compliance Monitoring Officer to join their team in Central London on a 6 months' contract.

Successful candidate will have a previous experience working within an Investment Management sector carrying out risk based monitoring programme, monitoring PA dealings, trade monitoring/surveillance, trade allocation, best execution.

Responsibilities:

To practice and encourage others to operate in a professional and ethical manner
Ensure adherence to Code of Ethics, and in particular maintain the PA Dealing process
Assist the Monitoring team in performing thematic reviews
Pre and post trade monitoring
Ensure all errors and breaches identified are promptly reported and appropriate corrective action taken
Be pragmatic with regard to regulations and new products
Monitor PA dealing
Develop and maintain a positive compliance culture through communication and monitoring regulatory responsibilities at all levels

Essential:

Previous working experience gained within Investment Management firm
Experience in mandate monitoring, trade monitoring/surveillance, pre and post trade monitoring, trade allocation, best execution, monitoring PA dealings