Nyasha Masawi

An outstanding opportunity as a Junior Asset Management Compliance Specialist focusing on;

1.Assisting in delivering the Asset Management compliance monitoring & surveillance program by performing second-line-of-defense reviews to assess controls and provide assurance that controls are operating effectively in relation to consequential risks across a number of key taxonomies (Suitability, Cross Border, Market Conduct, Conflicts of Interest, Anti-Bribery & Corruption, Anti Money Laundering and Know Your Client) and other regulations.

2.Performing compliance monitoring, testing and /or surveillance activities.
3.Manage and provide daily support to the Asset Management division working closely with Asset Management business and
Compliance colleagues across the world.
4.Reviewing and analyzing trading activity, transaction data, marketing materials and other documentation.
5.Ensure compliance with relevant internal policies and procedures, and regulatory requirements.
6. Support the Asset Management Compliance team in managing additional tasks, activities and projects such as assisting with development and prioritization of annual controls testing and assisting in the reporting and monitoring closure of outstanding actions, investigated and documented compliance violations and recommended corrective measures.

7.Responding to employee inquiries regarding compliance regulations and procedures.

8.Developing and maintaining compliance database, tracking all compliance activities and documents.

9.Assisting with internal and external audits to confirm compliance with applicable laws and regulations.

• Monitoring all queries received into the Regulatory Compliance team and responding to such queries, or escalating to more senior member of the team (as appropriate)
• Updating the firm's Risk incident register;
• Responding to Regulatory Compliance related questions for pitches and RFPs;
• Processing requests and approvals in line with the firm's Legal & Risk policies; e.g
• Share dealings, outside interests etc
• Handling requests for insider lists;
• Providing general risk support on the firm's projects;
• Conducting preliminary research on professional rules and regulations;

• Conduct legal research
• Review, draft, and revise business agreements
• Draft legal correspondence across all functions
• Managing schedules, take calls for office's senior leadership
• Draw up contracts and other paperwork
• Assisted litigation attorneys with research, discovery and document drafts for court submittal
• Organizing and file legal documents, maintaining a filing system so any document can be found quickly
• Formulate legal documents with lawyer supervision, transcribing and writing accurately
• Discuss case details with legal staff and clients, gathering and categorizing relevant information.