Compliance Analyst

Recruiter
Optimus E2E
Location
South East London, UK
Salary
Competitive
Posted
04 May 2019
Closes
04 Jun 2019
Ref
1125353883
Contract Type
Permanent
Hours
Full-time
Level of qualification
Newly qualified, Qualified
Compliance Analyst to work for our client, a leading Fixed Income Asset Management firm. Portfolio Compliance
• Monitor investment activity to ensure compliance with client guidelines, regulatory rules, prospectuses, and policies and procedures both on an automated and manual basis.
• Research potential violations and escalate as needed to resolve.
• Work closely with Portfolio Management, Trading, and Operations to manage trade day alerts through BlackRock Solutions Aladdin application.
• Prepare client certification and Board Reports as required.
• Review changes to client guidelines and work with BlackRock Solutions to update Aladdin as needed.
• Assist in on-boarding and compliance setup for new accounts as needed.
• Respond to ad hoc requests regarding trading and fund information. Compliance Monitoring
• Assist with the delivery of the compliance monitoring programme Regulatory Advice
• Provide regulatory advice and guidance to the business as required on existing regulations and changes to regulations, assisting with project and implementation plans as required. Team Support
• Assist in providing documentation required for audit requests.
• Participation and completion of assigned tasks for team projects and initiatives.

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