Compliance Officer
Location United Kingdom
Posted Date June 23, 2023
Company Email [email protected]
Company Website https://www.taylorroot.com/
Job type Full Time
Package (per year) 150000.00
Application Last Date July 28, 2023

Responsibilities:

  1. Client Investment Guidelines: You will be responsible for coding, monitoring, and maintaining client investment guidelines using the Charles River Compliance System (CRD). This includes analyzing new guidelines, ensuring accurate rule coding in CRD, and resolving guideline exceptions.
  2. CRD Alert Management: You will oversee the work performed by compliance specialists located in the U.S. to ensure timely and appropriate responses to CRD alerts. This requires a thorough understanding of fixed income and equity instruments, as well as complex securities and derivatives.
  3. Alternative Investment Fund Manager (AIFM) Compliance: The firm is in the process of applying for an AIFM license for the Netherlands office. Once approved, you will be responsible for complying with regulatory and reporting requirements applicable to an AIFM.
  4. Guideline Support: You will provide support to the Euro Credit Investment Team by addressing guideline-related pre-trade override questions. Additionally, you will comment on new and amended proposed guidelines during the Client Intake process.
  5. Guideline Issue Resolution: Working closely with investment teams, including Portfolio Managers and Client Service Representatives, you will work to cure guideline issues in a manner consistent with the firm's fiduciary duty to its clients. This may involve seeking guideline clarifications, amendments, and waivers from clients.
  6. Compliance Manual Maintenance: You will be responsible for maintaining the Netherlands Compliance Manual, ensuring it reflects the latest regulatory requirements and internal policies.
  7. Regulatory Compliance: You will monitor local regulatory requirements and implement processes to ensure compliance with applicable regulations and reporting requirements.

 

Qualifications:

  1. Education: A bachelor's degree in a business-related field is required.
  2. Experience: You must have a minimum of 8-10 years of investment adviser guideline compliance experience, including 3-5 years of supervisory experience in managing employees. Additionally, at least 3 years of AIFM compliance experience is required.
  3. CRD Knowledge: Extensive rule coding knowledge of the Charles River Compliance System (CRD) is necessary for this role.
  4. Financial Instruments: Strong knowledge of fixed-income securities, equities, and derivatives is required. Prior experience with derivatives is a plus.
  5. Teamwork and Communication: You should have the ability to work both independently and collaboratively within the Legal and Compliance Department, as well as effectively communicate with investment professionals and clients.
  6. Organizational Skills: Exceptional follow-up skills and the ability to prioritize work to meet deadlines efficiently are essential.
  7. Computer Skills: Strong computer skills, including proficiency in Excel and Word, are necessary.