Compliance Advisory Associate – Alternatives
Some of the responsibilities within the role will include:
► Working in partnership with the various business areas to provide timely and proactive regulatory advice on day to day issues.
► Working on business lead and/or compliance focused projects, including business initiatives, compliance monitoring projects and new regulation. This can include working as part of a larger working party or a small focus group to achieve a project goal.
► Assisting with new product initiatives and taking responsibility for providing regulatory compliance sign off for product launches and product changes, including the review of fund documents and key risk factors, the production of internal Fund Manager Guidelines, which set out the regulatory, mandate and internal restrictions that Portfolio Managers must adhere to.
► Liaising with portfolio managers and other investment staff including dealers on regulatory matters including advising on eligibility of instruments against the fund or mandate restrictions, business conduct, regulatory change, interpretation of current regulation and application of the business compliance policies e.g. conduct of business, dealing and managing, allocation, inside information and short selling.
► Liaison with other a wide variety of business units, external parties, third party providers, Auditors, Trustees, Boards and regulators with regards to processes, policies or breaches.
► Representing the Compliance team at client or trustee due diligence visits and where required, co-ordination of routine or ad-hoc regulatory reporting, for instance, FSA Hedge Fund survey and input to industry best practice e.g. Hedge Fund Standards Board
► Review of a wide range of financial promotions (incl. Advertisements /brochure-ware /internet /presentations etc.)
► May be required to work on across other compliance projects and initiatives and with other
It is essential that you come from a strong academic background, and have a previous experience within a Compliance capacity within financial services. You’ll need to have solid knowledge of trading processes, instrument and market risk & regulatory reporting. In return they are offering a competitive salary
About 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.