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James Joseph Associates. London, UK
Mar 25, 2017
Mifid II Consultant Compliance Asset Management Project Support Investment Management FCA Our client is one of the worlds leading Investment Management organsiations. Due to sustained pressure on their existing compliance department a Mifid II consultant is required to assist on an interim basis. This is a large organisation with a healthy proect pipeline so extension beyond the initial duration is highly likely. THE ROLE: Implementation of complaints, inducements (non-monetary benefits) and knowledge and competency MiFID II workstreams: Reviewing and revising associated policies/drafting new policies where required Assisting with the design and evolution of process and procedure documentation Assisting with the design and evolution of technology developments required as part of the MiFID II complaints workstream Oversee the implementation of MiFID II inducements (non-monetary benefits) disclosures into the applicable client documentation Delivery of training on policy/process changes to impacted individuals across the organization Project management status updates on relevant MiFID II workstreams (complaints, inducements and knowledge and competency) Providing support and advice to employees regarding the above subject matters. Participation in other compliance projects which relate to the above MiFID II workstreams. EXPERIENCE REQUIRED: Asset management business or investment banking environment Strong general Compliance experience MiFID II's complaints, knowledge and competency and inducement requirements FCA's complaint handling rules FCA's gift and entertainment rules FCA's APER and T&C regime Experience of other European fit & propriety regimes would be beneficial. SKILLS REQUIRED: Project management - experience of owning, driving and delivering projects. Ability to prioritize project milestone priorities and recognize potential risk areas Quickly develops relationships with individuals in order to achieve project milestones Clear verbal communication of complex scenarios Strong written English Use of project management progress reports Maintaining positive working relationships with multiple stakeholders concurrently Implementation of change in a complex organisation Ability to work in and enjoy a fast paced and challenging working environment. DESIRABLE SKILLS: Experience of working with teams internationally Other EU implementation project experience eg AIFMD
James Joseph Associates. Edinburgh, UK
Mar 25, 2017
Transition Coordinator Investor Services Asset and Investment Management My client is one the worlds leading asset managers. They require a Tranistion Coordinator to work in their Edinburgh office. This will be a 12 month engagement paying £250 per day. You will work within a team of 8, facilitating cash and free-of-payment security transfer activities, in-kind contributions and redemptions for Pooled Funds, Stand Alone Accounts, and Retail Fund mergers and terminations. The team is placed within the Business Operations function. KEY RESPONSIBILITIES: Liaison with custodians and other Fund management houses to ensure accurate information for Clients portfolios, as quickly as possible, during the transition process to enable a smooth and timely event completion. Update of internal systems to reflect security and cash transfers. Provision of instructions to custodians where necessary. Provision of information, and assistance, to Transition Managers and other portfolio managers to enable them to manage Clients investments in a risk controlled and efficient manner. Monitoring the settlement of free-of-payment trades and cash movements on Client and Collective Trust Fund accounts. Ensuring the accurate tracking of corporate actions taking place during transition activities. Liaison with Portfolio Compliance to ensure the organisation is not in breach of company or Client guidelines. Attendance at Client, consultant, custodian and internal meetings and conference calls and where necessary the initiation and lead thereof. Accurate recording and information retention for MIS, audit and regulatory purposes. Management and upkeep of counter-party and provider relationships. Review and challenge of existing procedures to enhance and rationalize where possible in response to a frequently changing environment and requirements. SKILLS REQUIRED: An understanding of the transition management business Knowledge of Pooled Funds and in-kind activities An understanding of free-of-payment (FoP) trades and FoP SWIFT messaging An appreciation of Stamp Duty markets, Stamp Flags, in-kind fees and the collection thereof on FoP trades An understanding of cash & stock reconciliation processes and their importance during transition events An appreciation of corporate actions and their possible impact upon the transfer of assets
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