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Strong global brand plus mid-level generalist operations role and common experience band attracts many applicants.
Role requires specialized asset-management compliance and regulatory experience, limiting cross-industry transferability.
Mandatory years, specific personal-trading experience, and certification requirements create strict shortlisting filters.
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Support the Group Conduct Intelligence and Operations team in monitoring employee compliance with Personal Conflicts and Trading Policies and report breaches to senior management and Boards.
Maintain up-to-date knowledge on compliance policies, regulatory requirements, and risks; review processes and controls aligned with business and regulatory changes.
Develop and provide regular reports and dashboards on compliance monitoring systems; assist with operational processes including RCSA and BCP, support audits and compliance monitoring.
4 to 6 years of experience in financial services required.
Minimum 3 years' experience in personal account dealing and personal conflicts policy within an asset management firm.
Bachelor's degree in Business, Finance, or a similar discipline; MBA or equivalent qualification preferred.
Knowledge of FCA, SEC, SFC, and MIFID personal trading requirements; Ethics and Compliance credentials (e.g., CCEP, CISI, ICA) required or commitment to attain within 12-18 months.
Experienced in asset management compliance, especially personal trading and conflicts policies, with strong regulatory knowledge including FCA, SEC, SFC, MIFID frameworks.
Analytical with proficiency in MS Excel (pivot tables, data sorting, filters; macros advantageous) and MS PowerPoint for reporting to senior management.
Capable of managing multiple tasks in an ambiguous, high-pressure environment, maintaining discretion and professional conduct, and collaborating effectively across stakeholder levels.