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Investment Complaince Specialist Required by Boutique Investment House
Eingestellt von DBFS Ltd
Gesuchte Skills: Support
Projektbeschreibung
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
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Einsatzort:
London, Vereinigtes Königreich
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Projektbeginn:
asap
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Projektdauer:
12 months
- Vertragsart:
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Berufserfahrung:
Keine Angabe
Geforderte Qualifikationen
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Kategorie:
Sonstiges