Best Execution Compliance Monitoring Manager
An Institutional Investment Management firm is looking for a Compliance Manager to join their relatively small compliance team in a role that will be primarily focused on Investment Compliance monitoring. An excellent opportunity for an individual looking for that next step in the career with great career growth opportunities for the right individual;
- Manage the investment compliance Monitoring program including:
- Pre- and post-trade compliance
- Best Execution and Market Abuse monitoring
- Investigating potential breaches of investment guidelines and restrictions
- SYSC-based monitoring programme
- Manage the key day-to-day operational compliance tasks including PA Dealing, Gifts & Entertainments, Disclosures etc.
- Coding investment guideline restrictions, particularly around new fund launches and as part of annual review
- Support or lead key regulatory projects as and when required
- At least 4 years Investment/Guideline Compliance Monitoring experience, working within an Institutional Fund Management firm.
- Experience of Best Execution and Market Abuse monitoring using an automated solution such as Charles River or similar
- Experience of coding investment guidelines preferable
- Knowledge and understanding of UCITS, AIFMD & MAR
- Confident & articulate with the ability to work with all levels of seniority.
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