Senioe Compliance Analyst - Front Office

£52,000 - £57,000
10 Apr 2012
10 May 2012
Contract Type

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.