An opportunity to be a part of a global Investment manager is open for applications. The role itself sits with the compliance team and covers the implementation of the compliance program for the European business.
Job description and main responsibilities include:
PA Dealing
- Reviewing and approving pa trades
- Chasing for contract notes, trade confirms, etc. where necessary
- Liaising closely with our colleagues in the US who ultimately own our code of ethics policy.
Regulatory reporting
- Submission of FCA and CBI returns, as required
- Oversight of other returns submitted by others within the UK firm
- Returns include complaints, product and sales data, close links and controllers, high earners
Qualifications and skills:
- Excellent communication as the successful candidate will be dealing with various teams across the firm including but not limited to front office in addition to varying levels of seniority
- Organised approach including strong persuasive and negotiation skills
- Excellent attention to details
- Ability to prioritise
