Pre & Post Trade Compliance Monitoring

  • Location:

    London, England

  • Sector:


  • Job type:


  • Salary:

    £45000 - £55000 per annum

  • Contact:

    Lauren Ashwood

  • Job ref:


  • Published:

    10 months ago

  • Expiry date:


  • Start date:


A Global Asset Manager are seeking someone to join their Compliance team, to focus on pre and post trade compliance monitoring.

The main responsibilities are as follows:

  • Rule coding of new, and amending existing rules, to include validation checks of construction
  • Completeness checks to identify and eliminate gaps in populated data thus ensuring decision making data extracts are accurate
  • Ensuring daily and monthly manual monitoring activities relating to rules that cannot be coded into the OMS are undertaken
  • Engaging in discussions on ideas to automate where possible, or streamline current manual process
  • Undertaking daily OMS post trade monitoring to include; monitoring and trend analysis of new violations, repeating violations and data violations
  • Ensuring that there is a full audit trail for additions and deletions from the OMS
  • Reconciliation of the OMS to external systems e.g. eFunds
  • To ensure the OMS pre-trade overrides are valid and in-line with client requirements

It is essential that you have:

  • Good knowledge of compliance monitoring, to include: Equities, Fixed Income, Derivatives, Unitised Schemes & Money Market Instruments.
  • At least 2 years experience in an investment management environment

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