Exceptions Monitoring Analyst - Fund Management

London, South East England
23 Jul 2017
22 Aug 2017
Contract Type
Full Time

The Client-

A well established and highly successful Fund Manager, are seeking to recruit an Exceptions Monitoring Analyst to work closely with the Head of The Controls and Assurance Team in examining the output of the firms Front Office

This Client does not provide sponsorship.

The role-

Working closely with the Head of Controls and Assurance, you will be expected to conduct an independent review of the FCA Conduct of Business (COBs) exceptions arising out of the firms three main Dealing Desks Fixed Income, Equities and FX. Your duties including:

  • Best Execution
  • Timely Execution
  • Timely Recording
  • Order Allocation
  • Timely Release
  • Fair Allocation
  • Post Trade Cancellations
  • Post Trade Amendments

Key Requirements-

This role would ideally suit a candidate who understands the mechanics of the Fund Management space and how said markets work. In order to be considered for the position candidates must -

  • Have solid knowledge compliance experience gained in a similar role with an Asset Manager
  • Have excellent knowledge of FCA COBS rules relating to the Asset Management
  • Be Degree educated
  • Be confident in dealing with senior stakeholders and dealers
  • Have excellent organisational, communication and presentation skills
  • Have the ability to work under pressure whilst managing multiple and conflicting deadlines