Compliance & Risk Executive

at  Meredith Brown Associates

This leading, City based, global asset manager is currently looking to hire a highly driven Compliance & Risk Professional. Working as part of this relatively small, dynamic and collaborative team, this is a broad compliance monitoring role which may suit someone who is keen to continue building upon their Compliance and Risk expertise within a progressive, professional and friendly team.

EXPERIENCE & QUALIFICATIONS

• Degree and IMC/CISI or other relevant investment management/compliance qualifications.
• Knowledge of Operations, Trading and Investment Team procedures.
• Knowledge of Compliance Policies and Procedures.
• Knowledge of key regulations.
• Excellent communication/presentation skills.
• Well organised working style with excellent attention to detail.
• Ability to be commercially aware and provide solutions.
• Strong negotiating skills.
• Good decision making /problem solving skills.
  To hear more about this exciting opportunity, please contact Karen Consalvi on 020 7847 8874 or email your CV to karen@meredithbrown.com
  Ref: KC945680
  Please note: that due to the high volume of applicants responding to our adverts we are regrettably not able to feed back on all applications; only successful candidates will be contacted.

• Experience in compliance and/or risk from a similar environment, preferably within asset management.
• Client Interaction: dealing with client compliance enquiries from allocated client’s e.g. general compliance reporting, due diligence questions, contract renewals and compliance certifications. This may also include occasional attendance at meetings with clients.
• Regulatory Intelligence: in conjunction with other team members, keep up to date with regulatory and industry developments that impact the Client’s business.
• Assist the CCO in drafting new and amend existing policies as required by regulatory changes.
• Guideline Compliance Process (LVTS/LDC): various shared duties related to ensuring that the Company’s guideline compliance controls remain effective.
• Compliance Monitoring: shared role in executing the Company’s Compliance Monitoring Programme
• Compliance Projects: ad hoc duties related to development of processes within the team, or the wider business which require compliance input, and any other specialist tasks.
• Client Reporting: manage allocated client relationships including responses to client queries on compliance matters and ensure that Compliance department client reporting obligations are met.
• Client Reviews: assist the CCO in the preparation and execution of client onsite due diligence (and other) reviews. Attend such meetings as required.
• Generate a daily LVTS exceptions report for portfolio managers, which highlights potential client guideline breaches that require their investigation.
• Compliance Monitoring Programme: complete assigned monitoring exercises as allocated by the Manager, Compliance & Risk under the company’s rolling risk-based compliance monitoring programme.