Senioe Compliance Analyst - Front Office
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.