Post Trade Monitoring - Compliance - Asset Management (contract Post Trade Monitoring - Compliance - Asset  …

Goodman Masson
in London, England, United Kingdom
Contract, Full time
Last application, 03 Jul 20
GBP300 - GBP350 per day
Goodman Masson
in London, England, United Kingdom
Contract, Full time
Last application, 03 Jul 20
GBP300 - GBP350 per day
Post Trade Monitoring - Compliance - Asset Management (contract)

Key Objectives

  • Taking ownership of daily tasks and processes within the Risk and Compliance department ensuring that tasks are delivered within the agreed timeframes
  • Assist the Risk and Compliance team in maintaining compliance policies and procedures
  • Maintain the approval process and record-keeping logs for the Restricted List; Gifts & Entertainment; PA Dealing; Outside Business Interests; Insider/Project Lists
  • Conduct Market abuse monitoring using Bloomberg Trade Cost Analysis (BTCA)
  • Perform post-trade monitoring of IMA guideline restrictions on Bloomberg AIM system (VMGR)
  • Review e-communication alerts on Bloomberg Vault system
  • Organising and maintaining appropriate record keeping procedures and document filing
  • Assist with the completion of periodic and desk-based compliance monitoring
  • Conduct Counterparty AML Due Diligence
  • Perform AML sanctions checking including testing, setting up new names on World Check, screening and reviewing alerts
  • Assist in the administration of the attestation process for Risk and Compliance
  • Assist with annual and ad-hoc training and be responsible for record-keeping and the administration of SkillCast (Computer Based Training system)
  • Uploading Error & Breaches and other risk data into the risk system
  • Provide support to the other members of the Risk & Compliance team generally and as agreed assist on specific projects or work streams.

You will have

  • Minimum 2 years' experience in a Compliance based role within financial services (FCA regulated firms)
  • Good use of written and oral English
  • Good knowledge of using Bloomberg in a monitoring role
  • Ability to work well in a fast-paced, small team environment
  • Excellent communication and confidence with a high level of energy to build strong relationships, and take initiative
Company Overview

With a team of over 200 and growing every day, Goodman Masson is one of London’s specialist Finance and Technology recruitment businesses. Voted ‘Best Recruitment Company to Work For’ in 2018, our passion for what we do is clear.

Based in London, Düsseldorf and New York, we hold annual revenues exceeding £42 million. This includes Qualified & Part-Qualified / Transactional Finance, Actuarial & Investment Management, Audit, Banking Operations, Compliance & Financial Crime, Front Office, Housing Development, Information & Cyber Security, Technology, Digital & Data, Product Control & Valuations, Projects, Change & Transformation, Risk & Regulation, Tax and Treasury.

We also have a Solutions team who provide RPO, hybrid and volume recruitment services. Alongside this, Goodman Masson have developed an Executive Search team who focus on sourcing C-suite talent to fee earning Legal partners.