VP Fixed Income Investment Compliance Specialist

JR United Kingdom; London; On-site; GBP 60,000 - 100,000; Full time

Job description

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VP Fixed Income Investment Compliance Specialist, London

Client:

Morgan McKinley

Location:

London, United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Views:

9

Posted:

18.04.2025

Expiry Date:

02.06.2025

Job Description:

IMG is responsible for portfolio management and trading across a number of asset types including Equity, Fixed Income, and FX. Our Fixed Income Team capabilities span both active and index funds, covering the entire fixed income universe from government securities to corporate bonds across developed and emerging markets, including money market funds.

Summary of Role

With an ambition of continued growth across Europe and a core objective of delivering superior outcomes to our customers and clients, an exciting opportunity has arisen for a compliance specialist to join our Investment Management Compliance Advisory team. The successful candidate will support engagement with IMG, providing proactive and pragmatic advice and guidance on governance, regulatory compliance matters relevant to the investment management activities.

This position will report directly into the Head of Investments and Product Compliance and will join a team of expert compliance professionals supporting the European IMG team. The IMG team is London based; collaboration with colleagues in US and Australia offices is essential for the success of the role. The successful candidate will also collaborate and support Compliance colleagues in other teams.

Our second line of defence Compliance Advisory team are trusted advisers and we are proactive in our understanding of the business functions, their strategic goals and initiatives. You will provide guidance and oversight of investment-related regulations impacting fixed income trading on matters related to portfolio management and execution such as best execution, allocations, crossings, derivative use, trade/transaction reporting, portfolio management, investment restrictions, and broader UCITS and ETF matters.

Our ideal candidate will have at least seven years relevant experience with a leading investment manager and will have a track record of providing commercial and value-adding regulatory advice, in collaboration with the Investment team, Risk and Legal colleagues as required. The successful candidate will exhibit strong partnership, technical and relationship management skills and the ability to build trust with stakeholders.

Core Responsibilities

• Provide the Investment Management business with guidance and advice on investment-related regulations impacting trading and portfolio management activities, with specific focus on Fixed Income active and indexing desks.
• Advise on and oversee new business initiatives from a Compliance perspective.
• Provide Compliance participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives.
• Advise on and interpret regulation on the global and local policies in relation to investment decisions, issues and potential breaches.
• Liaise with other IMG Compliance Advisory teams.
• Build and maintain stakeholder relationships with IMG, the risk team (RMG), other members of the Office of the General Counsel (Compliance, Legal, Investment Stewardship and Government Relations) and other teams supporting the operations of the funds.
• Provide advice on the anticipation, impact assessment and response to regulatory developments.
• Design and deliver effective regulatory training initiatives to the business.
• Maintain a deep knowledge and awareness of the investment industry. Stay abreast of current market, regulatory and industry relevant news.
• Contribute to the creation of management reporting and communication on Compliance matters to senior management, business stakeholders, Boards and governance bodies such as Oversight Committees.