Ocean has been engaged to recruit an exciting opportunity for a Senior Associate to join a growing Portfolio Compliance team in one of the world's most prestigious Financial services firms in London. This is an excellent opportunity to join a cutting edge Portfolio Compliance function in one of the world's most influential Asset Managers, serving both retail and institutional investors.
Our client is seeking an experienced Portfolio Compliance professional who will carry out pre and post trade monitoring, rule coding, testing and implementation activities.
Our client values diversity in the workplace and welcomes applications from everyone. If you have a disability and need help with the application process, please tell us.
- Coding and monitoring of Investment guidelines
- Ensuring that regulatory requirements and investment guidelines are effectively monitored
- Advising on pre-trade alerts
- Working with the IT and Data departments to implement new BAU enhancements and deliver to project work
- Performing regular system checks to help mitigate known risks and any gaps
- Ad hoc project work
- Proven experience of investment/portfolio compliance gained in an asset manager
- Excellent knowledge of portfolio compliance systems such as BlackRock Aladdin, CRD or Thinkfolio
- Excellent understanding of FCA and EU regulations governing the UK Asset Management space
- Advanced Excel user
- A multi-asset class investment management knowledge including knowledge of the investment strategies and operation of complex mandates
Ocean is a recruitment and inclusion consultancy dedicated to the investments industry. Our mission is to lead the recruitment of diverse talent and champion the adoption of more inclusive working cultures to help the industry innovate.