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Well-known employer, metro location and mid-level title increase applicant competition.
Asset-management personal trading compliance requires industry-specific knowledge, reducing cross-industry portability.
Multiple mandatory experience bands, asset-management specialization and required certifications increase shortlisting strictness.
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Own monitoring and reporting of employee compliance breaches related to personal conflicts and trading policies to senior management and boards.
Maintain subject matter expertise on compliance and regulatory requirements, adapting processes and controls accordingly.
Produce regular reports and dashboards on personal trade monitoring and support ongoing compliance program evolution including process improvements and technology enhancements.
4 to 6 years experience in financial services with at least 3 years in personal account dealing and personal conflicts policy within an asset management firm.
Bachelor's degree in Business, Finance, or similar; MBA or equivalent preferred.
Knowledge of FCA, SEC, SFC, and MIFID personal trading requirements.
Ethics and Compliance credentials (CCEP, CISI, ICA) or commitment to attain within 12 to 18 months.
Experienced compliance professional with deep expertise in personal trading and conflicts policies within asset management.
Comfortable working with evolving compliance frameworks, technology, and reporting to senior stakeholders and boards.
Strong analytical skills with proficiency in MS Excel (pivot tables, macros an advantage) and ability to produce clear, concise reports for senior management.