Overview
An London-based fund manager is seeking to appoint a Mandate Compliance Analyst.
This role will be responsible for the coding, monitoring and breach management of all applicable client, regulatory and internal investment restrictions across Artemis-managed portfolios. This role will also provide cover within the wider Portfolio Services team.
Key Responsibilities
- Responsible for all investment restriction coding and controls in the order management system (OMS);
- Manage the daily breach process, including investigation, documentation, escalation and resolution of
- potential and confirmed breaches, liaising with compliance, client services and the investment team as
- required;
- Maintain a three-year rolling audit programme to ensure coding and manual controls are kept in line with client, regulatory and fund manager expectations;
- Implement any changes to CRD coding or manual controls when required;
- Maintain the coding and associated audit trail for the internal stop list;
- Manage the implementation of client-specific restricted stock lists;
- Maintain the coding relating to eligible countries, markets and asset classes for clients;
- Produce relevant MI for governing committees as required;
- Provide cover within the wider Portfolio Services team;
- Maintain sufficient cross-training within Portfolio Services to support effective operational resilience.
Skills, Knowledge & Experience
- Working knowledge of industry-recognised OMS;
- Working understanding of investment restriction coding;
- Proven experience in a similar role in investment management including within Investment Operations or Compliance;
- Working knowledge of the regulatory framework applicable to UK and Luxembourg regulated funds,
- including UCITS;
- Ability to work on own initiative and without constant direct supervision, with a proactive approach;
- Ability to prioritise, work well under pressure in a busy environment and meet deadlines;
- Ability to communicate clearly and interface with all relevant business areas;
- Demonstrates a strong commitment to teamwork, contributing consistently to shared responsibilities and team objectives;
- Willingness to challenge and question;
- Systematic and organised;
- Energetic, enthusiastic and positive.
Additional Information & Company Benefits
- Compensation: Competitive, based on experience
- Equity: Competitive
- 25 days’ holiday per year, in addition to bank holidays
- Private medical insurance
- Life insurance
- Flexible working: A balance of home and office working
