THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES:
* To build a close working relationship with each of the business units to support Compliance matters as required.
* To work principally with the Head of Public Markets Compliance Advisory, and Deputy Head of Group Compliance, and other members of the Compliance Team - as required, to support the provision of Compliance advice.
* To track industry developments, for example best practices from trade associations and apply and roll these out within the Business.
* To assist with the provision of ad-hoc advice to the Public, and Private Markets Groups.
* To support ongoing surveillance of the activities of the Public Markets Group in relation to key regulatory processes, including: MAR surveillance, best execution, allocations, sanctions lists, shareholding disclosures and filings, position limits, exceptions reporting, and maintenance of IT systems to manage these.
* To support the management of engagement with approved expert networks.
* To assist with the management of incoming market soundings.
* To assist with the management of trade restrictions.
* To assist with the management of Compliance workflows and the integration of a new reg tech system.
* To manage the addition and removal of entries to Worldcheck and to investigate daily flags.
* To assist with the management of external KYC requests.
* To assist with updating and drafting policies, procedures and the Compliance Manual,.
* To support engagement with the Operational Due Diligence Team on visits and reviews of external managers and key suppliers.
* To assist with the maintenance of records relating to the Senior Management and Certification Regime.
* To assist with the delivery of new joiner Compliance training.
EXPERIENCE REQUIRED:
* ???????????????? ???????????????? ???????????????????????????????????????? ???????????????????????????????????????? ????????????????????????????????????????
* Thorough knowledge of the UK regulatory framework.
* Willingness to develop relationships at all levels in delivering pragmatic and proportionate compliance support, monitoring and training solutions
* A good understanding of public market asset classes; including equity, credit, fixed income, derivatives and alternative investments.
* Demonstrable experience of Public Markets Compliance.
* Demonstrable experience of dealing with the regulatory change agenda, and in particular impact of Public Markets.
* Working knowledge of Bloomberg and FundApps or other equivalent systems for monitoring Public Markets compliance.
* Familiarity with Private Markets Compliance.
For further information please contact Spencer Evans
#J-18808-Ljbffr