Compliance, Investment compliance, Portfolio compliance
3 weeks ago
About Our Client
Leading global investor in sustainable infrastructure.
Job Description
Review employee's quarterly brokerage statements working across various geographical locations and flag any potential personal trade breaches to onshore compliance team. Utilize internal compliance tools to ensure that brokerage statements are received prior to internal deadlines including sending employees reminders and flagging outstanding items to onshore compliance team. Screen and review social media handles of investment (deal) teams and capital partnering teams & flag issues to onshore compliance team. Ensure the new hires certifications are completed on time by employees & ensure their initial disclosures are up-to-date. Update the leavers status on the firm's compliance system and update records accordingly. Perform conflict checks on prospects list and expert network usage reports. Flag any potential issues to onshore compliance team. Manage and review high quantity of emails and calendar invites for expert networks to ensure record keeping is comprehensive. Manage high volume of transcripts and recordings of expert network calls to ensure records are complete and reach out to networks directly when records are missing. Work directly with third-party services to complete translations of expert network calls not conducted in English Co-ordinate with new brokers/dealers to setup direct feed transmission (Electronic Feeds) with firm's compliance system. Handle employee queries or queries from external parties such as family office, broker/dealers, system vendors etc. Work closely with the onshore compliance team on day-to-day compliance matters and to support the client team. Liaising with relevant internal and external teams to reflect regulatory requirements Managing ad hoc compliance tasks as requiredThe Successful Applicant
Good level of education (degree or higher). Experience in working for a corporate compliance team Good at working with MS Office tools (Excel, Word, and PowerPoint). Prior experience working on Compliance Tools (, My Compliance Office, STAR Compliance, ComplySci - PTCC) tool is a plus. Knowledge and understanding of fund industry - Private Equity preferred An understanding of corporate governance procedures Practical experience in applying policies and procedures Detail oriented and accurate Strong written and language skills Teamwork ethic Organised, self-motivated and able to demonstrate initiative-
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