Guideline Monitoring - Generating and reviewing compliance exception reports using systems such as Thinkfolio and Apollo. Investigation and reolution of potential guideline breaches and exceptions.
Maintaining the database of investment restrictions, reviewing new client investment restrictions and coding to the compliance systems.
Personal Trading Review (Code of Ethics) - Daily personal trading monitoring using third party application to identify violations of the firm s policies and procedures. Provide UK Compliance Officer with findings on a daily basis
Reviewing other daily risk and compliance data including follow up investigation as necessary.
Carrying out a variety of other periodic tasks within the compliance monitoring programme.
Assist with the ongoing development of the compliance monitoring programme and compliance systems within NAM UK.
Assist with ad hoc regulatory and business projects as necessary.
Identify and report on current and potential issues and problems, and make suggestions for improvements to own work area or processes.
Key Skills:
Candidates should have experience within an institutional asset management environment.
Compliance monitoring experience is preferred with use of systems such as Thinkfolio, Latent Zero, Charles River, Apollo including the ability to programme and edit investment restrictions.
The selected candidate will be able to demonstrate a disciplined approach to their work, attention to detail and a willingness to investigate day to day issues arising.
Be approachable in the department and flexible in exposure to a variety of duties
Ability to plan and prioritize workload and work to deadlines
Good Communication skills
High level of accuracy and attention to detail
Knowledge of Indian stock markets and mutual funds would be helpful
