My client, a top quality Asset Management House based in the City is looking for an experienced COMPLIANCE OFFICER to join their team on contract basis! Friendly, team-orientated environment.

The Role:

My client is looking for someone experienced who would be able to hit the ground running from day one. Successfull candidate will assist with administering the Firm's compliance efforts, which includes identifying regulatory and legal requirements relating to monitoring of institutional portfolios on an ongoing basis to ensure compliance with guidelines. Pre and Post Trade Compliance.

Daily Responsibilities:

  • Post trade: Daily review of your accounts to ensure compliance with client guidelines and any additional regulatory requirements. Where issues arise, to investigate these and liaise with relevant departments as appropriate to resolve
  • Pre-trading: Review order requests to ensure the proposed trade would not breach client guidelines
  • Incorporating new or revised guidelines as notified by the client and ensuring all systems are properly updated
  • Working with other compliance officers, portfolio managers, client service executives and associates to resolve compliance issues
  • Completing compliance certifications for accounts as required
  • Understanding and familiarity with issues relating to Dublin/Lux funds and UCITS.
  • Manually reviewing guideline restrictions that cannot be coded into Charles River to ensure portfolio compliance.
  • Identify and implement process improvements, including issues relating to manual tests


  • Experience with Pre and Post Compliance Monitoring.
  • Attention to detail.
  • Strong communication skills.
  • Being able to work in a busy environment.
  • Self starter that is also able to work as part of a team, with pro-active attitude towards accomplishing tasks.
  • Good knowledge of fixed income, derivatives, UCITS.
  • Good knowledge of Charles River and Excel essential; Bloomberg would be an advantage.
  • Degree Educated; Proffesional Qualifications a Plus.