- London, England, United Kingdom
- Permanent, Full time
- Credit Suisse -
- 16 Nov 18
IWM AM UK Coverage Compliance Officer # 111035
A role to undertake day to day Compliance advisory responsibilities primarily for the UK Asset Management Aventicum Capital Management business that commenced operations in January 2015. The established business line focusses on Emerging Market Credit with a small touchpoint relating to Real Estate.
- Provide second line of defense advisory support to the existing UK Asset Management business & wider Global Credit Suisse Asset Management (CSAM) franchise where required.
- Attend regular meetings with business as workload dictates.
- Provide input into the CSAM compliance monitoring programme from an Aventicum business perspective.
- Assist in the delivering of the face to face training to UK AM staff.
- Participate in the analysis & implementation of new regulations affecting the business as directed - Answer general marketing questions raised by centralized team using existing awareness of FCA regulations.
- Emerging Market Credit experience preferred to deal with the Front Office enquiries.
- Good working knowledge of Debt instruments including Collateralised Loan Obligations (CLO's) & bonds plus basic derivatives.
- Working as part of the wider compliance coverage team to implement the key strategic projects for the UK & EMEA Asset Management businesses.
- Mobility required to provide compliance cover across 2 locations primarily in West London ( and in Canary wharf as directed).
- Gain a good working understanding of the wider CSAM UK footprint to provide overflow support where required.
Open to discussing flexible/agile working.
- Excellent industry compliance experience at a small Asset Management institution with a small hedge fund focus.
- Preference for a compliance generalist covering general advisory work and not a specialist in one area.
- Experience of working with Dublin Qiaif and Cayman Master/Feeder fund structures.
- Preferred experience of alternative and Emerging Market Credit businesses.
- Experience of non-investment grade credit strategies including Collateralised Loan Obligations (CLOs) preferred.
- Working knowledge of Real Estate funds advantageous.
- Experience of supporting the front office on general trading issues.
- Must be proactive and approachable.
- Must be able to work under pressure, autonomously and multi task.
- Must possess excellent communication skills (oral + written) and be able to interact with staff at all levels.
- Must be able to correctly prioritize issues.
- Must be able to adapt to a changing regulatory and business landscape & communicate clearly and effectively.