Front Office Controls Monitoring Analyst – Fund Management

Recruiter
MERJE
Location
London (Greater)
Salary
£80,000 base + package
Posted
12 Nov 2017
Closes
12 Dec 2017
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time

The Client-

A well established and highly successful Fund Manager, are seeking to recruit an experienced Front Office Monitoring Controller to work closely with the Head of The Controls and Assurance Team in the first line of defence, examining the output of the firms Front Office.

This Client does not provide sponsorship.

The role-

As part of the first line of defence team within Front Office, you will be expected to conduct a number of controls including:

  • Dealing monitoring including best execution, timely execution, amendments, cancellations …etc.
  • Monitoring Front Office conduct
  • Fund Manager trade monitoring
  • Monitoring conflicts of interest risk assessment across Equities and Fixed income
  • Maintaining the Equities and Fixed Income conflicts of interest register
  • Providing ad hoc controls advice
  • Supporting the Head of Controls and Assurance
  • Maintaining an awareness of regulatory developments

Key Requirements-

This role would ideally suit a candidate who understands the mechanics of the Fund Management space. 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 strong knowledge of trade process and trade flow
  • Have excellent knowledge of FCA COBS rules relating to the Asset Management
  • Be Degree educated
  • Be confident in dealing with senior stakeholders and dealers, having strong influencing skills
  • Have excellent organisational, communication and presentation skills
  • Have the ability to work under pressure whilst managing multiple and conflicting deadlines