Role:
* Assist implementation of regular compliance monitoring program (PA dealing, compliance declarations, distribution of compliance policies, fit & proper assessments)
* Market abuse detection and escalation
* Review of marketing material
* Review of compliance policies and registers
* Responding to/reviewing client due diligence questionnaires
* Coding and monitoring of investment compliance limits in trading system
* Monitoring and filing of ownership disclosure obligations (long and short) globally
* Oversight of the research payment account
* Preparation of regulatory filings
Desired skills:
* Exposure to FCA, CIMA and SEC regulatory regimes
* Knowledge of European ownership disclosure regimes
* Generalist compliance experience in an asset manager/hedge fund
* Good technical skills – process improvement/efficiency mindset key