| Job Title: | Guideline Monitoring |
|---|---|
| Reference: | Compl2948 |
| Salary: | £40,000 - £45,000 |
| Location(s): | London, London East, London North, London South, London West, Middlesex, City of London |
| Industry(s): | Financial Services |
| Advertiser: | Compliance Professionals Ltd |
| Employment Type: | Permanent |
| Posted: | 12-05-2008 |
Description:
THE COMPANY:Our client is the Asset Management arm of one the largest US Investment Banking groups. They provide Asset Management services to individuals, institutions and intermediaries. They have a diverse product offering that includes Equities, FI, Hedge Funds, Property.
THE RESPONSIBILITIES:
Work closely with the business, product development and funds support in analysing and documenting, regulatory, prospectus, product and internal restrictions
Seek portfolio manager sign-off for all restrictions as documented for funds
Act as an intermediary between the business and Legal and Compliance in dealing with all risk related issues surrounding funds.
Interpret investment restrictions and code into the compliance systems used within Risk Management
Help perform manual checks for guidelines which cannot be automated through our compliance tools
Work closely with the team in the implementation of guideline management control system enhancements and the installation of new systems
Review guideline restriction coding as part of the account reviews process.
Represent Risk Management at selected Control Forums, new risk approval and projects meetings to ensure appropriate risks are being flagged and addressed adequately
Updating department procedures
REQUIREMENTS:
Experience of Charles River or Sentinel
Practical guideline monitoring experience
Knowledge of the regulatory framework for European funds
Preferably having IMC qualification
For further information please contact Spencer Evans
