Compliance, Internal Audit & Risk

Compliance Manager – Trading & Investment

City of London, London

Duration:
18 Months
Expiry date:
2024-07-04
Start date:
ASAP
Job type:
Contract
Job ID:
CMFTC1

About the role:

Responsibilities:

  • Define and implement Investment and Trading Compliance framework including best execution, market abuse, fair & timely trade allocation, and cross trades
  • Perform the Compliance Monitoring Plan control testing related to Investment and Trading Compliance
  • Monitor Equity and Fixed Income Best Execution ensuring adherence to regulatory requirements and industry best practice
  • Support the Gatekeeper within Equity and Fixed Income
  • Conduct E-Communications monitoring
  • Conduct regular and periodic ad hoc and thematic reviews
  • Develop expertise within fixed income and equities investment management & trading areas, offering practical guidance and pro-active advice on Compliance policies and procedures to fund managers, traders, and local compliance on a timely basis

Skills:

  • Proven experience in a similar role preferably within an asset management firm
  • Strong knowledge of FCA rules and regulations coupled with sound knowledge of the financial services sector including up to date relevant knowledge of best compliance regulatory peer practice

If interested, please apply. Alternatively, email chris.norton@goodmanmasson.com

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.

Duration:
18 Months
Expiry date:
2024-07-04
Start date:
ASAP
Job Type:
Contract
Job ID:
CMFTC1

Sounds good?

Does this role sound like the right for for you? Apply using the form and one of the Goodman Masson team members will get back to you as soon as possible. Good luck!

Apply for the role


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