Compliance Officer - Trade Surveillance

☞ Aegon Asset Management

Aussicht: 102

Update Tag: 07-05-2024

Ort: Edinburgh Scotland

Kategorie: Beratung / Kundenservice Recht / Verträge

Industrie:

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Jobinhalt

Job Description Summary
Job Description
Compliance Officer – Trade Surveillance
Permanent
Location: Edinburgh or NL (typically 3 days in the office per week, 2 from home)
Closing date: 24th March 2024
Aegon Asset Management is a leading global investor, our employees work from 13 locations across Europe, the Americas and Asia. We advise on assets for a global client base of pension plans, public funds, insurance companies, banks, wealth managers, family offices and foundations. We share a common belief in fundamental, research-driven active management, underpinned by effective risk management and a commitment to responsible investment.
Our people are our greatest asset, and we want Aegon Asset Management to be a place where they can bring their authentic self to work and do all they can to deliver on our strategic promises to our customers.
We help people live their best lives. We help them with the big stuff, for the moments that matter.
As our Compliance Officer - Trade Surveillance working in our Global Compliance Operations team, you will have the responsibility to oversee UK and Netherlands Investment Management and provide assurance that trading activities on all asset classes and associated behaviours comply with required regulations and policy requirements on market abuse, best execution, and conduct. You will work closely with Aegon Asset Management UK and NL Compliance units to drive best practice in oversight of the Investment Management function.
This is a role where you will be able to truly develop our Trade Surveillance Compliance processes, in addition to:
  • Ensuring we continue to meet regulator and industry best practices through the delivery and development of all of the firm’s Investment area monitoring activity.
  • Conducting through analysis of trade rationales, trading activity and behavioural trading patterns and identifying exceptions, utilising available technology, investigating alternative solutions and continuously seeking improvements.
  • Conducting appropriate investigation of exceptions, consulting with our Portfolio Managers and where appropriate escalating any issues to our UK or NL Head of Risk & Compliance.
  • Acting as a liaison for our front office teams in logging and following up of all risk events in accordance with our internal policies, whilst consulting Operational Risk Management colleagues.
  • Maintaining an excellent standard of documentation with respect to all Trade Surveillance compliance activities to provide a clear audit trail.
  • Performing a selection of wider compliance tasks such as business and policy reviews and facilitating and managing compliance training.
We’d love to hear from you if you have:
  • Experience working in a similar Trade Surveillance Compliance role
  • Sound knowledge and experience working in MiFID II, MAR, and any other similar regulation frameworks.
  • Knowledge and experience in working with trading systems (Aladdin, Bloomberg, FX Connect, Tradeweb, FlexTrade, MarketAxess etc).
  • Experience in working with trade monitoring compliance systems, with knowledge of trading exchanging advantageous.
What’s in it for you?
  • A competitive salary, depending on the experience you can bring
  • A non-contributory pension between 9%-13%
  • A discretionary bonus, depending on personal and company performance
  • 27 days leave per year (plus bank holidays, pro-rated for part-time)

We also offer private medical cover, life assurance, critical illness cover, enhanced parental leave and a variety of lifestyle benefits to help our staff live their best lives, including retail discount vouchers, cycle2work scheme, subsidised restaurant and online GP appointments.

We serve a diverse, ever-changing world. It’s tough, but we work tirelessly to leave things better than we find them. If that sounds like the sort of place you’d like to work, hit the "Apply" button.

The legal bits
We’ll need you to confirm you have the right to work in the UK. If we offer you a job and you accept, there are some checks we need to complete before you can start with us. This will include a credit and criminal record check, as well as providing satisfactory references.
Additional Job Description
Equal Opportunity Employer:
We are an equal opportunities employer and welcome applications from all suitably qualified persons regardless of their race, sex, disability, religion/belief, sexual orientation or age
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Frist: 21-06-2024

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