Compliance Officer

Recruiter
Westbourne Partners
Location
London, United Kingdom
Salary
Competitive
Posted
26 Jul 2022
Closes
25 Aug 2022
Ref
16054155
Job Function
Other
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Compliance Officer

We are a global institutional investment firm and asset manager with 1200+ people in offices around the world. We combine deep industry knowledge of financial analytics and portfolio managers with quantitative researchers and software engineers to provide superior expertise - analyzing market conditions, minimizing risk, and seeking out new investment opportunities.

We foster and promote a culture of free-flowing ideas, career development, innovation, collaboration whilst supporting and maintaining our employee health and wellbeing - with our world-class benefits.

THE ROLE:

An exciting opportunity for a Compliance Officer to join our London Office and assist with the firms UK and EU compliance efforts and all regulatory matters as well as assisting the Global Compliance team in our wider compliance program. Reporting directly to the London Compliance Director, specific focus will be on regulatory and position monitoring and submissions (long or short disclosures, AIFMD filings, REGDATA filings), transaction reporting, e-comm surveillance and expert network reviews.

PRIMARY RESPONSIBILITIES:
  • Daily position monitoring, intraday capacity checks
  • Review and reconciliation of daily reports and submission filings
  • Transaction reporting, providing guidance on rules and requirement reviews
  • Assisting in the non-trade surveillance program
  • Assisting with EU short selling queries
  • Monitoring regulatory developments
  • Responsible for the coordinator of AIFMD, MiFIDPRU and other filings within RegData ensuring they are completed and submitted in a timely manner
  • Monitoring regulatory developments (including MAR, MIFID II, MiFIR and EMIR) and updating compliance policies/procedures as required


EXPERIENCE REQUIREMENTS:
  • MUST HAVE 6+ years compliance experience within an Investment Firm/Asset Management Firm
  • Bachelors Degree
  • Practical experience with disclosure and regulatory reporting and monitoring
  • Exposure to/understanding of different types of instruments (equities, equity derivatives, macro and credit)
  • Knowledge of insider dealing rules and regulations
  • Knowledge of hedge funds, investment advisory functions and research

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