Your team
The Pictet Group is one of the world's leading independent wealth and asset managers.
Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented in 30 offices in financial centres worldwide, currently employing over 5000 people. Pictet has been present in London since 1980, and employs near 400 people.
Pictet Asset Management (PAM) manages the assets of some of the world's largest institutions, financial intermediaries and their clients. Our culture welcomes independent thinkers and centres around investment excellence, a long-term perspective and a dedication to client
service.
The Pictet Asset Management Compliance Team is organised around three main areas:
Distribution, Investment & Trading, and Core Compliance. This position is part of the
Investment & Trading Compliance pillar based in London, primarily responsible for the Global
Compliance framework for PAM's investment and trading platforms (e.g. best execution, market abuse, gatekeeping, e-coms recording and monitoring and related training). The role reports directly to PAM Limited's Head of Compliance.
Your role
* Establish and uphold our Global Investment & Trading Compliance Governance Framework, while promoting a culture of positive compliance throughout PAM.
* Perform and supervise the execution of the Compliance Monitoring Plan (CMP) for PAM, ensuring the timely completion of associated tasks, and reporting to boards, committees, and Senior Management.
* Define, update and maintain Investment & Trading Compliance Framework and policies.
* Analyse the effect of PAM's new business initiatives and investment products on the CMP.
* Monitor Best Execution ensuring adherence to regulatory requirements and industry best practices.
* Support the Gatekeeper within Equity and Fixed Income, ensuring compliance with PAM Gatekeeper policies and procedures.
* Serve as the primary point of contact for all Investment & Trading Compliance related inquiries and issues, providing expert guidance and support to internal teams and external stakeholders.
* Monitor industry-wide compliance initiatives as well as global regulatory developments and conduct analyses as to how such developments impact PAM.
* Conduct comprehensive and periodic thematic reviews, and control testing to continuously strengthen our compliance framework.
* Support the broader compliance team to ensure continuity of compliance related activities as and when required.
Your profile
* Minimum of 10 years' proven experience in an Investment & Trading Compliance role within an asset management firm.
* Strong knowledge of SEC, FCA, ESMA and EU rules and regulations coupled with a strong knowledge of the financial services sector.
* Up to date relevant knowledge of best compliance regulatory peer practice.
* Effective analytical and organisational skills and strong written and verbal communication skills.
* Ability to investigate issues, proactively problem solve and handle multiple tasks with attention to detail working to strict deadlines.
* Team player, eager to be part of a small, open, and communicative team.
* A confident communicator, able to build positive relationships across the business internally and externally and commitment to contributing to a strong compliance culture within the firm.
* Strong judgement, integrity, and professional demeanour that instils confidence in others.
* Pro-active with a desire to take ownership of and manage own workload to a high standard.
* Tech-savvy, you will be comfortable adjusting to new systems and operating at an expert user level with MS Office applications.
* Experience in programming languages such as Python, SQL, VBA would be a plus.
* French language skills would be beneficial.
Note
We will not accept any CVs via agencies
Diversity & Inclusion
Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace. #J-18808-Ljbffr