Responsibilities
:
Perform ongoing investment management monitoring tasks including: pre and post tradepliance, best execution, identification of potential market abuse and PA Dealing.
Develop and maintain policies and procedures toply with the regulatory requirements and best practice within the investment management industry.
Provide assurance that regulatory requirements and otherpliance policies are adhered to.
Assist in the development and delivery of the 2nd line assurance plan.
Requirements:
Strong understanding of the financial services industry and its regulatory environment.
Experience of working in an assurance related role covering investment activity.
Experience delivering assurance projects, as well as liaising with senior management.
Please note, our client is unable to offer sponsorship for this opportunity. Finally, should you not be contacted within five working days of submitting your application, then unfortunately you have not been shortlisted for the opportunity. We will however, be in touch should there be any other opportunities of potential interest that are suiting to your skills.
