Job Title: GENERALIST AND INVESTMENT GUIDELINES COMPLIANCE MANAGER-Contract


Reference:AJB/ JB AM CTR 09


Date: 27 Feb, 2018

Location: London


Assignment Profile:

Our client is a highly regarded Asset Manager that has a small compliance department. They are seeking an experienced Compliance generalist with Investment guidelines experience to assist the head of compliance Duties include but are not limited to the below

Candidate Profile:

1. Good understanding and experience of an order management system – preferably Bloomberg AIM or Sentinel or Charles River – understanding of client investment guideline restrictions (coding, rules management, pre and post trade compliance monitoring).
2. Very good experience of trading compliance (e.g. Allocations, Best Execution – especially given the post MIFID II environment which demands enhanced monitoring around trading/anti market abuse
3. Good understanding and application of the FCA handbook (Conduct of Business rules in particular)
4. Regular compliance tasks such as managing shareholding disclosures, Global regulatory filings (SEC, FSB, UK) as well as more admin oriented tasks e.g. maintaining logs and registers for personal account dealing, Gifts & Entertainment, Conflicts of Interest, Corporate Access Log etc.
5.Willing and happy to deal with admin related tasks and support the Compliance Officer.


Consultant: Jonathan Banjo


Consultant Email: jbanjo@ajbexecutivesearch.co.uk


Salary:Circa £600 per day


If you feel you are a suitable candidate for this position please contact Jonathan Banjo

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