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.
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
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