Senior Compliance Officer (Investment Compliance with Coding)
HybridLondon, England, United Kingdom
Job Summary
Conduct daily pre and post trade compliance monitoring across regulated and segregated portfolios. Code, assign, test, and approve investment guidelines in BlackRock's Aladdin system with high accuracy. Manage client onboarding investment restrictions and amendments while reviewing draft IMA documentation for coding requirements. Oversee compliance breaches to closure, maintaining records for internal and external stakeholder submissions. Advise the front office on application regulations including UCITS and NURS requirements, and collaborate with fund managers, dealers, and legal teams to mitigate risks. Work within a 3:2 hybrid schedule reporting to the Head of Investment Compliance.
Required Qualifications
- Strong experience in Asset Management
- Experience within guideline monitoring and coding
- In-depth knowledge of UCITS/NURS AIFMD Regulations applicable to Investment Management activities
- Experience in UK Authorised Funds, Irish ICVCs and Luxembourg SICAVs
- Aladdin experience
- Measurable attention to detail/accuracy
- Solid verbal and written communication skills
- Ability to articulate complex matters into simple terms
- Logical and critical thinker who can challenge the status quo
- Emotionally intelligent with a want to build strong internal networks
- Ability to influence people and negotiate with stakeholders
- Ability to confidently engage with all levels/senior management
- Creative and solution driven
- Proactive and assiduous
- Team player who is self-sufficient and does not need micro managing
- Highly organised and able to multi-task
- Ability to work under pressure with tight deadlines
- Enthusiastic and positive approach, taking pride in output
Desired Qualifications
- IMC/CFA desirable
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