Job Description
Our client is a leading global asset manager and family office with a long-standing history and a reputation for excellence in both investment performance and social impact. Managing approximately $28 billion in assets, the firm serves as the principal investment manager for one of the world’s largest charitable foundations, supporting initiatives that promote justice, human rights, and democratic values globally.
The firm is expanding its UK operations and is seeking a Compliance professional who can take a lead role locally while also providing support to its Ireland and US offices as needed.
Primary Responsibilities
1. Work with the London Compliance Officer to provide trade compliance support to the teams in London with some assistance to the equivalent teams in New York.
2. Pre-trade compliance support includes reviewing trades against the relevant EU regulatory obligations and internal investment guidelines using the firm’s order management and other systems/tools to exercise this responsibility.
3. Assisting with wall crossings and management of the MNPI process
4. Help with the EU and UK regulatory filings and disclosures.
5. Assist with the firm’s compliance program covering personal account dealing, gifts & entertainment, restricted list maintenance, and surveillance of trading activity, transaction repo...