We are looking for a Compliance Specialist to join the Compliance Team. The ideal candidate will play a crucial role in ensuring adherence to regulatory standards and internal policies.
Key Responsibilities:
* Monitor the investment process with a focus on market integrity, including market abuse detection, best execution, and broker performance.
* Analyse distributor activity through flow analysis, target market feedback, and distribution policies.
* Oversee conflicts of interest, particularly concerning securities.
* Support Corporate Compliance and Regulatory teams in MIFID-related controls, including investment suitability and ESG preferences.
* Contribute to the automation of controls by developing internal tools and designing new control frameworks, utilizing best-in-class third-party software (e.g., Tableau) and programming languages (e.g., Python).
* Provide timely advisory and training to investment staff.
* Prepare periodic reports for internal corporate bodies and committees.
* Liaise with Group Compliance Policies to provide compliance advisory tailored to the needs of the Investment Department.
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