Associate - Investment Compliance Monitoring

Key Responsibilities

• Assist with the performance of periodic and recurring surveillance controls pertaining to FILs investment management and client brokerage activities;• Monitoring of electronic communications and trading activities using vendor and proprietary tools. This will primarily consist of reviewing exceptions and performing further investigation where required;• Identify, escalate, resolve, track and report compliance exceptions in-line with internal policy and regulatory requirements;• Ongoing calibration and administration of the monitoring tools and production of management information and reports;• Monitor post-implementation performance and flag deviations or unintended consequences;• Act as a liaison between Compliance, Technology, and Business teams to ensure seamless adoption of changes;• Develop effective working relationships with other functional areas for timely receipt of information required for the completion of tasks;• Perform tasks within defined SLAs and assist in other projects or tasks, as required.

Experience and Qualifications Required

• 1-3 years of relevant experience in surveillance within the financial services industry;• Bachelor of Business or Commerce preferred;• Highly motivated, able to think logically, critically and quickly, with an ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks;• Excellent communication and interpersonal skills, with a track record of coordinating and working with teammates and stakeholders across multiple locations to deliver projects and deliverables;• Strong understanding of regulatory frameworks (e.g., MAR, FCA, SEBI, FINRA) and market abuse typologies• Good understanding of concepts and practices relating to trading, investment management and research;• Working knowledge of international regulatory frameworks and strong understanding of market abuse typologies;• Ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks;