Job Description
Client
My client is a global asset management firm dedicated to helping institutions, intermediaries, and individuals worldwide invest their resources to achieve their financial objectives, realise ambitions, and plan for the future.
With a team of approximately 5,000 employees across six continents, they have a history spanning over two centuries. They continuously evolve in response to societal and technological shifts, their commitment to supporting their clients and contributing to broader prosperity remains constant. Their focus is on long-term success, responsible investment practices, and innovation, ensuring that clients are well-prepared for the future with customised investment solutions.
Day-to-day
1. Undertaking on-going desk-based monitoring of trading and investment activities
2. Daily monitoring of substantial shareholding positions approaching disclosure thresholds and ensuring disclosures are filed in a timely manner.
3. Liaise on compliance matters, with overseas offices as necessary.
4. Advise and assist investment teams on compliance matters, acting as a trusted advisor and challenging partner
5. Support the compliance assurance team on scoping.
6. Review and draft internal policies and procedures.
7. Represent Compliance across different internal committees,
8. Training inve...