Compliance Advisory - Asset Management Firm
Location: Edinburgh
Contract Duration: 12 Month Contract
Responsibilities:
* 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.
* Advising on matters involving Material Non-Public Information (MNPI) and the application of information barrier policy.
* Working with global counterparts in the US and APAC to ensure a level of consistency globally, leveraging best practices wherever possible.
* Delivering periodic compliance training to the businesses on matters including but not limited to market abuse, information barriers, best execution, and conflicts of interest.
* Preparation and delivery of management information, reports, and presentations to department and business unit management, management company boards, and regulatory bodies as required.
* 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.
Seniority Level:
Associate
Employment Type:
Contract
Job Function:
Quality Assurance and Other
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