Compliance Testing

Compliance Testing - Asset Management
My client is a leading and growing Investment Management Firm and we are recruiting for a compliance professional. You will be given the opportunity to support the legal team and work closely with stakeholders in the market.
Responsibilities for this Compliance Testing - Asset Management role
Execute the firm's risk based Compliance Monitoring Programme.
Conduct periodic and thematic reviews; document findings and track remediations.
Monitor trading activities for market abuse, insider trading, best execution, trade allocation, and unusual patterns.
Review investment guideline breaches and follow up with front office and operations.
Oversee Personal Account Dealing (PAD), gifts & entertainment, outside interests, conflicts of interest, and policy breaches.
Requirements for this Compliance Testing - Asset Management role
Degree in Law, Finance, Business, or related field.
at least 7 years compliance testing experience