Trading Compliance Associate

This Global Asset Manager requries a Compliance Associate to
Monitor trades for compliance with local UK Trading regulations - RTS .
Monitor trading books for risk limit breaches for escalation.
Support the broader Risk and Compliance Team with ad-hoc tasks as may be required during less busy periods.
Perform pre-trade and post trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines.

o Work with CRO to maintain a compliance culture within the business.
o Evolving the framework of compliance monitoring and carrying out compliance monitoring activities to include call reviews, file reviews and thematic reviews based on risk assessment.
o Handle staff dealing approval, monitoring and review staff dealing-related reports
o Support disclosures of interest and other regulatory reporting and filing for MAS UK.
o Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquires.
o Coordinate with IT on system enhancement and user-acceptance testing for features related to compliance
o Assist in other tasks assigned and ad-hoc projects including due diligence checks.
o Reviewing current/future regulatory changes and providing recommendation to the business on likely impact.
o Minimum of 3 years’ UK Investment / Banking Compliance Trading experience in handling compliance matters, experience with algorithmic trading is preferred
o Familiarity with Bloomberg useful