Investment Compliance Senior Associate

TN United Kingdom; Scotland; On-site; GBP 45,000 - 75,000; Full time

Job summary

An established industry player is seeking an Investment Compliance Senior Associate to join their dynamic Data Solutions team. This role offers the chance to work with a diverse range of financial products and engage directly with clients to ensure compliance with investment guidelines and regulations. The ideal candidate will thrive in a fast-paced environment, utilizing their expertise to interpret guidelines, build investment rules, and investigate potential violations. If you possess a blend of analytical skills and a client-focused mindset, this opportunity allows you to make a significant impact in a collaborative setting.

Qualifications

• Experience in post-trade compliance roles within the financial services industry.
• Strong knowledge of global regulatory requirements impacting post-trade activities.

Responsibilities

• Analyze root causes of investment exceptions and verify compliance.
• Collaborate with clients to leverage platform functionality for reporting needs.
• Maintain understanding of industry and regulatory developments.

Skills

Post-trade compliance experience

Guideline coding

Excellent communication skills

Knowledge of global regulatory requirements

Collaborative problem-solving

Leadership skills

Attention to detail

Organizational skills

Education

Professional certifications (CFA, FRM)

Tools

TRAC

Charles River

Sentinel

Aladdin

Alteryx

Python

Job description

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Investment Compliance Senior Associate, Midlothian

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Client:

Location:

Job Category:

Finance

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EU work permit required:

Yes

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Job Reference:

6a61d9960cec

Job Views:

3

Posted:

02.05.2025

Expiry Date:

16.06.2025

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Job Description:

If you are enthusiastic about Investment Guidelines and Regulations, in a client-facing role – check our new opportunity!

As an Investment Compliance Senior Associate within the Data Solutions team, you will be exposed to a wide range of financial products, including Equities, Fixed Income securities, and Complex Assets. You will be responsible for interpreting guidelines, building investment rules, investigating potential violations, and partnering with the investment manager and/or the client to assess their needs and provide solutions. This is an exciting position for a client-focused and solution-driven individual who thrives on new challenges, possesses intellectual curiosity and entrepreneurial spirit, and enjoys working in a fast-paced yet flexible environment.

Job responsibilities

1. Understand client requirements on prospectus/rule changes and work with the client to leverage platform functionality to meet reporting/data needs.
2. Analyze root causes of investment exceptions, including analysis of portfolio holdings, composition, historical transactions, and data to verify compliance.
3. Interpret guidelines and investment mandates to build logic-based rules for compliance monitoring.
4. Participate in client calls for service reviews, Due Diligence Meetings, and projects.
5. Ensure all client queries are resolved promptly and accurately.
6. Close exceptions on the compliance platform through communication with clients/fund managers and upstream teams for data/coding gaps.
7. Collaborate with global peers to define best practices and remediate manual/bespoke processes.
8. Maintain understanding of industry, market, and regulatory developments related to regulatory reporting, engagement, and disclosure for asset owners and managers.
9. Update standard regulatory rule sets and review changes in post-trade monitoring rules with clients.
10. Coordinate with Controls, Audit, and Risk teams to review process controls.
11. Assist in new client onboarding by providing market knowledge and functional expertise.

Required qualifications, capabilities, and skills

1. Experience in post-trade compliance roles within the financial services industry.
2. Knowledge of guideline coding on compliance systems: TRAC, Charles River, Sentinel, Aladdin.
3. Excellent communication and interpersonal skills for building trusted relationships with clients and stakeholders.
4. Strong knowledge of global regulatory requirements impacting post-trade activities, such as UCITS, IRS, 1940 Act, Money Market regulations.
5. Ability to articulate complex issues clearly and concisely.
6. Collaborative problem-solving approach.
7. Proven leadership skills to drive results in a fast-paced environment.
8. Deep understanding of complex instruments, fixed income, and equity products.
9. Excellent written communication skills and client engagement experience.
10. High accuracy and attention to detail.
11. Strong organizational skills with the ability to prioritize and meet deadlines.

Preferred qualifications, capabilities, and skills

1. Professional certifications such as CFA, FRM, or relevant regulations like the 1940 Act and European regulations.
2. Experience with automation tools (e.g., Alteryx, AI, ML, Python).