Trade Compliance Analyst

JOB DESCRIPTION

You will be part of a dedicated investment compliance team, focusing on pre-trade and post-trade compliance across regulatory requirements, industry guidelines, product investment restrictions and client investment mandates. The role combines hands-on system management, including instrument maintenance, compliance rule loading, and breach monitoring, with analytical work on investment restrictions and portfolio data. Working closely with colleagues in the compliance and dealing teams, the successful candidate will help to load rules, identify, escalate, and resolve compliance breaches and contribute to regulatory reporting obligations. The role requires a sound understanding of investment instruments and products, the ability to interpret complex mandate restrictions, and the technical proficiency to maintain and interrogate compliance systems accurately and efficiently.

DUTIES AND RESPONSIBILITIES

• Dealing with all pre-trade and post-trade investment rule compliance aspects (including, but not limited to, daily monitoring and reporting) in relation to regulatory requirements, industry guidelines and investment mandates.

• Daily system / technical responsibilities:

Daily instrument maintenance.

Rule loading and maintenance.

General maintenance of compliance systems.

Daily breach monitoring.

Regulatory reporting.

General queries.

• Understanding and working with investment restrictions across various rule sets and product types.

• Understanding and working with investment management data sets including, but not limited to, portfolio valuation and trade data.

IDEAL EXPERIENCE

• A minimum of 3 years’ experience in investment compliance breach management/investment management compliance will be a distinct advantage.

• Other relevant technical compliance/investment management industry experience will be considered, including securities, product and systems experience.

• Attitude and core competence are key factors we consider, so this could be an opportunity for someone wanting to transition from a technical role and who has transferable skills, e.g. experience in appropriate roles on a dealing desk or within middle-office operations..

IDEAL QUALIFICATIONS

• Relevant business or financial qualification, e.g. BBusSc or BCom, CA or equivalent.

MOST IMPORTANT ATTRIBUTE

• Analytical, detailed, keen interest in and knowledge of investment instruments, motivated and a team player.

SYSTEMS KNOWLEDGE

• Advanced skills in MS Excel essential.

• Bloomberg or similar investment compliance systems experience is an advantage.