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Investment Complaince Specialist Required by Boutique Investment House

Eingestellt von DBFS Ltd

Gesuchte Skills: Support

Projektbeschreibung

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  
* Provide Investment Compliance monitoring, reporting, support, which will be both pre
* 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.

Projektdetails

  • Vertragsart:

    Contract

  • Berufserfahrung:

    Keine Angabe

Geforderte Qualifikationen

  • Kategorie:

    Sonstiges

  • Skills:

    support

DBFS Ltd