- Assisting in implementing the Compliance Program and annual Compliance Review which includes but is not limited to SEC, OCC and FCA regulations as well as surveillance of trading and marketing activity for compliance with FCA and other relevant rules and regulations.
- Daily post trade compliance review.
- To support trading desk with advisory work when necessary.
- Assist in developing and creating policies and procedures as and when needed.
- Responsible for completion of monthly & quarterly escalation reports.
- Ensure the Compliance Monitoring Programme and reporting is properly carried out and that reviews are accurate and of a suitably high standard.
- Ensure that all findings/issues identified are discussed with the business managers and appropriate remedial action taken with management.
- Assist in raising compliance awareness throughout the company.
- Monitoring compliance with FCA and SEC rules covering all aspects of trading, confirmations and customer classifications and documentation.
- Assist in liaison with Wells Capital/Wells Fargo Compliance in the USA to ensure conformity with all Wells Fargo group internal reporting.
- This position demands great attention to detail and the ability to coordinate effectively with all personnel of First International Advisors, LLC and ECM Asset Management Ltd.
- Experience of compliance work in investment management under FCA regulation.
- Good working knowledge of the UK regulatory environment and how FCA requirements apply to asset management lines of business.
- Communication – excellent interpersonal, communication (written and presentation) skills are essential with an ability to liaise professionally and with diplomacy across all levels of staff.
- Team working – proven track record of working collaboratively and demonstrated ability to work effectively as part of a team.
- Flexibility / Initiative – ability to manage multiple requests for information and handle confidential and sensitive information in a professional manner in a fast paced deadline driven environment.
- Problem solving skills – demonstrated ability to identify key issues, and obtain appropriate information for further analysis.
- Analytical skills – highly analytical with experience in collecting, analyzing, and synthesizing information on various subjects.
- Computing skills – Strong PC Skills including Microsoft Excel, Access, Word, PowerPoint and other reporting tools.
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