Senior Compliance Officer - Investment Compliance

THE COMPANY:Our client is one of the UK’s leading investment management companies, seeking a Senior Compliance Officer. The ideal candidate will have strong asset management experience, specifically within guideline monitoring and coding.THE RESPONSIBILITIES:Key stakeholder in client onboarding investment restrictions and investment restriction amendment processes. Reviewing draft IMA documentation to identify guidelines that require coding; equally identifying those that cannot be coded for discussion with relevant business areas.Code, assign, test and approve guidelines in the monitoring system (BlackRock’s Aladdin) with accuracy.Daily pre and post trade compliance monitoring across regulated and segregated portfolios.Managing compliance breaches efficiently to closure, ensuring accurate maintenance of records to support submissions and queries raised by internal and external stakeholders (Clients, Depositories, Auditors). Maintaining a good relationship with Front Office and the wider business.Consulting with front office on appropriate investment compliance and operational considerations impacting asset allocation, concentration and risk management.Overseeing and advising on adherence to application regulations including UCITS and NURS requirements.Collaborating with Fund Managers, Dealers, Legal Team, Client RMs and the wider Risk and Compliance function to successfully manage identified risks, breaches and enhance mitigating controls.Keeping abreast of regulatory developments and assessing any impact on Investment Management activities.Assisting the wider Compliance team where appropriate.EXPERIENCE REQUIRED: Strong experience in Asset Management.Working knowledge of all asset classes.Experience within guideline monitoring and coding.In-depth knowledge of UCITS/NURS AIFMD Regulations applicable to Investment Management activities (i.e. diversification and spread rules).Experience in UK Authorised Funds, Irish ICVCs and Luxembourg SICAVs.Aladdin experience essential.Measurable attention to detail/accuracy.Solid verbal and written communication skills.Ability to articulate complex matters into simple terms.For further information please contact Spencer Evans