Post Trade Monitoring - Compliance - Asset Management (contract

  • Location:

    City of London, London

  • Sector:


  • Job type:


  • Salary:

    £300 - £350 per day

  • Contact:

    Martin Deavin

  • Job ref:


  • Published:

    7 months ago

  • Duration:

    6 months

  • Expiry date:


  • Start date:


  • Consultant:

    Martin Deavin

Key Objectives

  • Taking ownership of daily tasks and processes within the Risk and Compliance department ensuring that tasks are delivered within the agreed timeframes
  • Assist the Risk and Compliance team in maintaining compliance policies and procedures
  • Maintain the approval process and record-keeping logs for the Restricted List; Gifts & Entertainment; PA Dealing; Outside Business Interests; Insider/Project Lists
  • Conduct Market abuse monitoring using Bloomberg Trade Cost Analysis (BTCA)
  • Perform post-trade monitoring of IMA guideline restrictions on Bloomberg AIM system (VMGR)
  • Review e-communication alerts on Bloomberg Vault system
  • Organising and maintaining appropriate record keeping procedures and document filing
  • Assist with the completion of periodic and desk-based compliance monitoring
  • Conduct Counterparty AML Due Diligence
  • Perform AML sanctions checking including testing, setting up new names on World Check, screening and reviewing alerts
  • Assist in the administration of the attestation process for Risk and Compliance
  • Assist with annual and ad-hoc training and be responsible for record-keeping and the administration of SkillCast (Computer Based Training system)
  • Uploading Error & Breaches and other risk data into the risk system
  • Provide support to the other members of the Risk & Compliance team generally and as agreed assist on specific projects or work streams.

You will have

  • Minimum 2 years' experience in a Compliance based role within financial services (FCA regulated firms)
  • Good use of written and oral English
  • Good knowledge of using Bloomberg in a monitoring role
  • Ability to work well in a fast-paced, small team environment
  • Excellent communication and confidence with a high level of energy to build strong relationships, and take initiative

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