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