Compliance Testing - Asset Management
Compliance Testing - Asset Management
My client is a leading and growing Investment Management Firm and we are recruiting for a compliance professional. You will be given the opportunity to support the legal team and work closely with stakeholders in the market.
Responsibilities for this Compliance Testing - Asset Management role
- Execute the firm's risk based Compliance Monitoring Programme.
- Conduct periodic and thematic reviews; document findings and track remediations.
- Monitor trading activities for market abuse, insider trading, best execution, trade allocation, and unusual patterns.
- Review investment guideline breaches and follow up with front office and operations.
- Oversee Personal Account Dealing (PAD), gifts & entertainment, outside interests, conflicts of interest, and policy breaches.
Requirements for this Compliance Testing - Asset Management role
- Degree in Law, Finance, Business, or related field.
- at least 7 years compliance testing experience
- Familiarity with regulatory regimes (MAS, SFC, FCA).
- Strong analytical skills, attention to detail, and ability to work independently.
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