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.
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
- Maintaining the Equities and Fixed Income conflicts of interest register
- Providing ad hoc controls advice
- Fund Manager trade monitoring
- Monitoring conflicts of interest risk assessment across Equities and Fixed income
- Supporting the Head of Controls and Assurance
- Maintaining an awareness of regulatory developments
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
- Front Office
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