This Global Asset Manager requries a Compliance Associate to Monitor trades for compliance with local UK Trading regulations - RTS . Monitor trading books for risk limit breaches for escalation.Support the broader Risk and Compliance Team with ad-hoc tasks as may be required during less busy periods. Perform pre-trade and post trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.
o Work with CRO to maintain a compliance culture within the business.o Evolving the framework of compliance monitoring and carrying out compliance monitoring activities to include call reviews, file reviews and thematic reviews based on risk assessment.o Handle staff dealing approval, monitoring and review staff dealing-related reportso Support disclosures of interest and other regulatory reporting and filing for MAS UK.o Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquires.o Coordinate with IT on system enhancement and user-acceptance testing for features related to complianceo Assist in other tasks assigned and ad-hoc projects including due diligence checks. o Reviewing current/future regulatory changes and providing recommendation to the business on likely impact.o Minimum of 3 years' UK Investment / Banking Compliance Trading experience in handling compliance matters, experience with algorithmic trading is preferredo Familiarity with Bloomberg useful