Skip to content

Senioe Compliance Analyst - Front Office

This job is no longer available

LMA Recruitment
10 April 2012
10 May 2012
Contract Type
£52,000 - £57,000

Further information

A newly created opportunity has become available within a leading Asset Management Firm where you will be working directly with the front office.

Some of the responsibilities within the role will include:


·         Pre-trade; review, research and close pre-trade alerts. Review relevant restrictions and pre-clear accounts

·         Monitors fund and separate account compliance with respective investment objectives and restrictions and provide compliance-related information to be used for board reporting

·         Batch; review and research compliance alerts, warnings and data exceptions.  Perform required manual calculations and escalate the appropriate notification protocol

·         Provide oversight for batch reviews completed by Compliance Analysts.

·         Opportunity to work directly with the Front office and build relationships with key investment management personnel.

·         Provide guidance to Portfolio Managers in accordance with key compliance regulations and requirements.

·         Pre-trade compliance interaction with Portfolio Managers prior to executing transactions.

·         Exposure to Global Mutual Funds and various types of accounts.

·         Understands pre-trade compliance related issues

·         Previous Charles River experience

·         Understands fund and separate account compliance

·         Has prior direct experience working with Portfolio Managers

It is essential that you have Investment/ asset Management background. Familiarity with local securities legislation is required for this position. Fixed income knowledge would be desirable. In return they are offering a basic salary of £52,000 - £57, 000 dependent on experience, plus bonus, and good benefits.


LMA Recruitment

As specialists in the financial sector, we provide recruitment solutions to clients and candidates, building strong relationships with both and drawing on indepth market intelligence.