Compliance Advisory - Asset Management Firm
Location:
Edinburgh Contract Duration:
12 Month Contract Responsibilities: Liaising with portfolio managers, dealers, and other investment staff on regulatory matters including, cross trades, error correction, fair allocation, best execution, short selling, and conflicts of interest. Advising on matters involving Material Non-Public Information (MNPI) and the application of information barrier policy. Working with global counterparts in the US and APAC to ensure a level of consistency globally, leveraging best practices wherever possible. Delivering periodic compliance training to the businesses on matters including but not limited to market abuse, information barriers, best execution, and conflicts of interest. Preparation and delivery of management information, reports, and presentations to department and business unit management, management company boards, and regulatory bodies as required. Responsible for ensuring timely advice and support on compliance matters related to business projects and business strategy. Working on, and leading where required, specified compliance projects and initiatives, in connection with the interpretation and implementation of new regulation. Seniority Level:
Associate Employment Type:
Contract Job Function:
Quality Assurance and Other
#J-18808-Ljbffr
Location:
Edinburgh Contract Duration:
12 Month Contract Responsibilities: Liaising with portfolio managers, dealers, and other investment staff on regulatory matters including, cross trades, error correction, fair allocation, best execution, short selling, and conflicts of interest. Advising on matters involving Material Non-Public Information (MNPI) and the application of information barrier policy. Working with global counterparts in the US and APAC to ensure a level of consistency globally, leveraging best practices wherever possible. Delivering periodic compliance training to the businesses on matters including but not limited to market abuse, information barriers, best execution, and conflicts of interest. Preparation and delivery of management information, reports, and presentations to department and business unit management, management company boards, and regulatory bodies as required. Responsible for ensuring timely advice and support on compliance matters related to business projects and business strategy. Working on, and leading where required, specified compliance projects and initiatives, in connection with the interpretation and implementation of new regulation. Seniority Level:
Associate Employment Type:
Contract Job Function:
Quality Assurance and Other
#J-18808-Ljbffr
