Job Description:
Our client, a global financial services firm, are seeking a Compliance Advisory Associate to join their team on an initial 12 month contract.
Essential Skills/Experience:
* Skilled in communication, problem solving / analytical, high attention to detail, and effective writing / presentation skills.
Core Responsibilities:
* Advising on matters involving Material Non-Public Information (MNPI) and the application of company information barrier policy.
* Working with global counterparts in the US and APAC to ensure a level of consistency globally, leveraging best practice wherever possible.
* Preparation and delivery of management information, reports and presentations to department and business unit management, management company boards and regulatory bodies as required.
* Liaising with portfolio managers, dealers and other investment staff on regulatory matters including, cross trades, error correction, fair allocation, best execution, short selling and conflicts of interest.
* Responsible for ensuring timely advice and support on compliance matters related to business projects and business strategy.
* Working on, and leading where required, specified compliance projects and initiatives, in connection with the interpretation and implementation of new regulation.
* Delivering periodic compliance training to our businesses on matters including but not limited to market abuse, information barriers, best execution, and conflicts of interest.
Job reference: 15947
To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.
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