Senior Compliance Analyst – Front Office

Senior Compliance Analyst â€" Front Office

Senior Compliance Analyst Front Office

Location: London , South East Salary: From 52,000 to 57,000 per annum Date posted: 10/04/2012 15:04 Job type:Permanent Company: LMA Recruitment Contact: Gregg Allan Ref: Totaljobs Job ID: 53319394

A newly created opportunity has become available within a leading Asset Management Firm where you will be working directly with the front office.

Within the role you will assist on self-assessment testing in conjunction with the Investment Adviser testing schedule. Conduct portfolio compliance, which includes manual back end reviews, as well as write, test and implement rule changes on Charles River

Some of the responsibilities within the role will include:

Pre-trade; review, research and clos e pre-trade alerts. Review relevant restrictions and pre-clear accounts

Monitors fund and separate account compliance with respective investment objectives and restrictions and provide compliance-related information to be used for board reporting

Batch; review and research compliance alerts, warnings and data exceptions.Perform required manual calculations and escalate the appropriate notification protocol

Provide oversight for batch reviews completed by Compliance Analysts.

Opportunity to work directly with the Front officeand build relationships with key investmentmanagement personnel.

Provideguidance toPortfolio Managersin accordance with key complianceregulations and requirements.

Pre-trade compliance interaction with Portfolio Managersprior to executing transactions.

Exposure to GlobalMutual Funds and various types of accounts.

Understands pre-trade compliance related issues

Previous Charles River experience

Understands fund and separate account compliance

Has prior direct experience working with Portfolio Managers

It is essential that you have Investment/ asset Management background. Familiarity with local securities legislation is required for this position. Fixed income knowledge would be desirable. In return they are offering a basic salary of 52,000 - 57, 000 dependent on experience, plus bonus, and good benefits.