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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in case management processes, compliance regulations, and operational workflows within asset management. Proficient in using StarCompliance and Microsoft tools for reporting and maintaining compliance standards.
Highest-signal resume keywords
Case Management OversightStarCompliance AdministrationFCA Personal Account Dealing KnowledgeInvestment Management QualificationOperational Process Management
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Case ManagementBreach Closure ActivitiesBroker ReconciliationWorkflow ToolsAutomated Personal Account Dealing SystemsInvestment Products KnowledgeCompliance RegulationsData AnalysisReportingProcess Documentation
Soft Skills
Effective CommunicationTime ManagementAnalytical MindsetTeam CollaborationInitiative
Tools & Technologies
StarComplianceMicrosoft TeamsPowerPointExcelPower BI
Certifications & Qualifications
Relevant Compliance QualificationInvestment Management Qualification
Industry Keywords
Asset ManagementFCAMiFIDSEC Code of EthicsInvestment Operations
About the role
Key responsibilities & impact- Oversee the case management process and ensure daily cases generated by StarCompliance are investigated and closed in line with procedures
- Log identified breaches in the Compliance breach register and complete breach closure activities
- Escalate issues and trends to Senior Management
- Manage the restricted dealing list, broker feeds and transaction feeds
- Maintain the firm’s restricted dealing list in Star
- Conduct daily broker reconciliation reviews and follow up discrepancies with brokers
- Assist with new broker feeds from initiation through implementation
- Investigate and resolve ongoing feed-process maintenance issues
- Administer the StarCompliance system, including lists, documents, certifications and approval workflows
- Field and resolve business queries received into team inboxes
- Update and maintain team procedures and process documents
- Support production and delivery of management information reporting to stakeholders, Compliance teams, committees and boards
- Use Microsoft Teams, PowerPoint, Excel and Power BI for reporting
- Develop collaborative relationships with stakeholders, the wider Compliance team and StarCompliance
- Provide monitoring, team cover and other duties as directed by the Deputy Head of Core Compliance
Requirements
What you’ll need- Experience of a similar role within a Compliance or Investment Operation function of an Asset Management firm
- Experience of working with and building workflow tools
- Experience of managing and delivering routine operational processes
- Experience of working with an automated Personal Account Dealing system is desirable
- Good knowledge of investment products, covering different asset classes and investment processes
- Good knowledge of FCA personal account dealing (COBS 11), MiFID inducement and SEC Code of Ethics rules
- Takes ownership and accountability for delivery
- Commercially aligned, pragmatic approach to provide advice and resolve issues
- Self-starter with high levels of initiative and a strong work ethic
- Effective time management and organisation skills
- Analytical mindset with ability to process information quickly and present solutions
- Strong communication and interpersonal skills
- High level of accuracy and attention to detail
- Conscientious team player with a collegiate approach
- University degree preferable (or equivalent)
- Relevant Compliance qualification desirable
- Relevant investment management qualification desirable
Benefits
Comp & perks- A valuable pension scheme of up to 18% (13% made up of employer contributions and 5% employee contributions)
- Access to Share Save and Share Incentive Plan
- Financial wellbeing and support services
- 38 days annual leave including bank holidays
- Opportunity to purchase up to five extra days
- Time Off When You Need It policy
- Comprehensive support and paid parental leave covering maternity, adoption, surrogacy, and paternity leave
- Private Healthcare
- Critical Illness cover
- Life Assurance
- Additional family options for health and protection cover
- Networking, support and development opportunities through employee-led networks
- Flexible working arrangements
- Workplace adjustments and reasonable adjustments during recruitment