Compliance Monitoring and Surveillance - London
An opportunity to work for a leading investment management firm who are passionate about their business and have lead the way in terms of looking at ethical investing for major asset managers over last few years.
We are looking for a compliance professional to join the Compliance Operations team in our Global Risk and Compliance Function in our London Head Office.
This role would suit a financial services compliance professional with a number of years experience in a relevant compliance monitoring and surveillance role in investment management or investment banking or relevant experience with regulators. Previous experience of monitoring and surveillance and advising on and administering personal conduct controls such as personal account dealing, gifts & hospitality and conflicts of interest essential.
- Senior responsibilities in the operation of trade surveillance and price sensitive information controls
- Advice, guidance and review in respect of employee personal conduct responsibilities (such as personal account dealing, gifts & hospitality and conflicts of interest).
- Providing support to the business, global compliance teams and employees on the use of the automated Compliance conduct tool.
- Supporting the administration of sensitive information within the firm.
- Assisting the Compliance Advisory area on operational aspects of policy implementation and further development of the controls environment.
- Overseeing and supporting the performance of surveillance tests on first line controls in respect of order/best execution processes, market abuse prevention and conflicts of interest.
- Contributing to well-written, coherent and succinct reports as required and appropriate for circulation to senior stakeholders.
- Provision of training and transferring expertise about market conduct and surveillance
- Making regulatory applications and reports using relevant FCA systems (e.g. FCA Connect system).
- Establishing and maintaining constructive relationships within relevant business areas and build strong relationships with and provide support to other Compliance team members.
- Providing subject matter support to the Head of Central Compliance and the Global Head of Compliance Operations.
- Relevant compliance monitoring and surveillance experience
- Previous experience of monitoring and surveillance and advising on and administering personal conduct controls such as personal account dealing, gifts & hospitality and conflicts of interest would be an advantage.
- Demonstrable interest in investment management compliance.
- Self-starter with a proactive approach
- Strong affinity with relevant technology and systems and the ability to quickly familiarise with internal systems
- Numerate and highly literate with willingness to learn relevant regulatory expectations and business processes.
High degree of discretion and confidentiality in dealing with sensitive information.