Compliance Consultant
Our client, a leading global investor, are looking to hire a Compliance Consultant, on a permanent basis.
Primarily you will have responsibility to provide assurance that trading activities on all asset classes and associated behaviours comply with required regulations and policy requirements on market abuse, best execution, and conduct.
You will work closely with the client’s Compliance units to drive best practice in oversight of the Investment Management function.
This is a hybrid position based in Edinburgh.
Desirable Skills/Experience:
Some working knowledge of MiFID II, MAR, and other relevant regulation
Some working knowledge of the different asset classes that asset management firms typically trade
Good knowledge of compliance function responsibilities within the asset management industry
Strong written / oral communication skills and ability to interact confidently at all levels within the firm
Ability to form close working relationships across the business
Ability to work with and manage external vendors to ensure delivery and functionality enhancement
Ability to manage responsibilities independently with minimal support where required
Core Responsibilities:
Delivery and development of all of the firm’s Investment area monitoring activity to ensure they continue to meet regulator and industry best practices
Analysis of trade rationales, trading activity and behavioural trading patterns to identify exceptions
Appropriate investigation of exceptions, consulting with Portfolio Managers where appropriate and escalation of issues
Act as liaison for the front office in logging/follow-up of all risk events in the system in accordance with policy
Maintain excellent standard of documentation with respect to all compliance activities to provide a clear audit trail.
Maintain behaviours and act as an ambassador for the firm’s risk culture.
Perform some wider compliance tasks that may include Compliance Monitoring of the business, policy reviews / refreshes, facilitating and managing compliance training, production and submission of global compliance reports, global coordination of compliance projects
Benefits:
A highly competitive salary
Wider Benefits package
Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.
Job reference: 15709
To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.
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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.
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