Our client is a premier asset manager
This role has responsiblity for managing all front office system related alerts, rules amongst other activities
Detailed Responsibilities
Front Office System oversight and management
Wall crossings and Front Office System list updates
Pre and post trade alert analysis
Regulatory disclosures
Front Office System rule coding for new accounts and/or new investment guidelines
Change in Control process
Regulatory Responsibilities:
Compliance with those aspects of the FCA’s Senior Managers and Certification
Regime which apply to you - including adherence to the Conduct Rule
Take proactive steps to keep up to date with regulatory updates to ensure a detailed understanding of compliance pertinent to your work
Be open and transparent in the way you deal with our clients
Ensure that wherever possible the interests of our clients are put first
Risk:
Be aware of the risks to the firm, and to its clients, of your actions and responsibilities
Ensure that as these risks change, or new risks arise, these changes are clearly communicated throughout the firm as appropriate
Manage these risks appropriately including involving your line management and the Chief Risk Officer as necessary
Additional Supervisory Responsibilities:
There are no direct reports to this role
Experience
Number of years in asset management or other comparable financial services roles
Technical and practical expertise in front office systems
