Position Monitoring & Reporting Contract

A leading Asset Manager is looking for a temporary compliance contractor to work on a Position Monitoring & Reporting project. You will have experience in substantial shareholder monitoring or reporting. You should also be familiar with disclosure rules and regulations. Particularly in the UK and Europe. .

Key responsibilities:

  • Keep abreast of regulatory change in respect of disclosure rules and requirements, communicating these, as necessary, and maintain up-to-date rules in the Global Disclosure Database Monitor and issue Letters of Intent via RNS Monitor and process FSA pre-clearance letters Monitor and report short selling
  • Generate and file disclosure reports to international issuers and regulatory authorities in a precise and efficient way.
  • Update the Global Holdings Database on a daily basis and perform regular monitoring of substantial shareholding positions approaching disclosure thresholds
  • Liaise with our client’s network of international offices, assisting them in submitting their notifications which might rely on data held in the UK
  • Respond to ad-hoc requests for information from issuers (s. 793 requests) and other enquiries from both external and internal sources

Skills required:

  • Experience of share disclosure monitoring and reporting Knowledge and awareness of disclosure rules – particularly UK and European
  • Short-selling reporting regulatory knowledge would be a bonus
  • Attention to detail and able to work under pressure to tight deadlines
  • Numerate, reliable and a good team player


Jackson Baker

Email: jackson@rutherfordsearch.com

Linkedin:  https://www.linkedin.com/in/jackson-baker-b500314b/

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