Overview
A leading UK-based fund manager is seeking a Senior Analyst (Portfolio Compliance) to join its London office.
You will be responsible for the coding, monitoring and breach management of all client, regulatory and “house” rules for all company clients.
Key Responsibilities
- Responsible for all investment restriction coding and controls in the order management system, Charles River;
- Manage the daily breach process, liaising with the Compliance and Distribution Client Services as required and where appropriate the Investment Team;
- Maintain a 3 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 manual controls or CRD coding when required by clients, regulation or in-house;
- Manage the coding and management of audit trail around the internal stop list;
- Manage the implementation of client specific restricted stock lists;
- Maintain the coding around eligible countries, markets, IDs and asset classes for clients;
- Produce relevant MI for the firm’s governing Committees as required;
Skills, Knowledge & Experience
- 3-5 years experience in investment management, at least two of those in Investment Operations or Compliance
- Working knowledge of Charles River;
- Solid understanding of compliance mandate restriction coding is preferred;
- Previous experience in Investment Management, ideally in either Investment Operations or Compliance;
- Working knowledge of UCITs regulation and both UK and Luxembourg structures;
- 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 to deadlines;
- Ability to communicate clearly and interface with all relevant business areas;
- Willingness to challenge and question;
- Systematic and organised;
- Energetic, enthusiastic and positive.
