Compliance Manager Compliance Manager …

Trevose Partners Limited
in London, Vereinigtes Königreich
Festanstellung, Vollzeit
Letzte Bewerbung, 23 Jan 21
Competitive
Trevose Partners Limited
in London, Vereinigtes Königreich
Festanstellung, Vollzeit
Letzte Bewerbung, 23 Jan 21
Competitive
- Perform various trade surveillance tasks including but not limited to monitoring adherence to best execution, trade allocation, market abuse.
Responsibilities 
  • Perform various trade surveillance tasks including but not limited to monitoring adherence to best execution, trade allocation, market abuse policies  
  • Maintain, update and annually review the Compliance Manual, policies, procedures and registers
  • Assist the Compliance team with the organization and implementation of regulatory training for staff
  • Research and keep up-to-date with regulatory matters
  • Undertake regulatory projects, including EMIR & AIFMD
  • Undertake compliance technology projects, including FundApps and Global Relay
  • Identify areas of Compliance vulnerability and risk and devise/implement corrective steps
  • Liaise closely with front and back office departments as necessary
  • Undertake occasional DD procedures, including KYC/AML on significant investor clients
  • Assist with non-compliance tasks within Legal and Compliance as requested
Note that in addition to these duties employees are required to carry out such other duties as may be reasonably required.
Education and Qualifications
  • Graduate or relevant experience/regulatory approval
Experience
  • Minimum 4-6 years relevant experience
  • Compliance and regulatory knowledge and experience
  • Ability to cultivate good internal and external relationships
Skills
  • Highly organised and self-motivated
  • Good communicator
  • Ability to work under pressure
  • Motivated, attention to detail, willing to assume responsibility
  • Good knowledge of fixed income products.
  • Ability to work well with other members of the division
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