Guideline Monitoring Manager – Asset Manager
An opportunity has arisen for an Compliance Manager to join Investment Guideline Compliance. The successful candidate will be a monitoring resource, for both investment restrictions and threshold disclosures. This is a highly visible role within the firm and offers the successful candidate substantial breadth of experience within a dynamic environment.
The objective of the Investment Guideline Compliance team is as follows:
- Oversight and support to all fund management desks and the central dealing function in respect of investment guideline related matters;
- Investigate, prepare and generate market disclosures for threshold crossings.
- Investment guideline monitoring of pre and post trade alerts;
- Working with client services teams to prepare for account on-boarding and closing;
- Working with operational teams to address any challenges arising from exceptions;
- Preparation of reporting documentation for review by senior management;
- Represent compliance interests in business projects and working groups;
- Provide advice and guidance to the business on regulated fund and segregated mandate guidelines;
Duties and responsibilities
- Timely identification, investigation and communication of investment guidelines related issues.
- Investment guideline monitoring of Charles River pre, post and batch trade alerts and warnings.
- Research breaches to determine whether they are passive or active and consequently advise on associated actions.
- Clear communication with relevant stakeholders on breach related matters.
- Ability to interpret investment guidelines within fund documentation (operational, client specific, regulatory).
- Generation of thresholds disclosures (Long, Short and Takeover) for the market.
- Support the Head of EMEA Guideline Compliance with the preparation of business and committee reporting.
- Carry out additional duties as assigned.
Technical skills and qualifications
- The IMC or IAQ qualification is desirable although not essential.
- Previous experience in Investment Guidelines is essential.
- Systems: Charles River experience is preferred however not essential, suitable experience within the pre/post trade monitoring space is necessary.
- Technical Knowledge: Working experience in the key regulatory issues and rule areas impacting our client.
- Products: Ideally experience across a range of product and instrument types including UCITS.
In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:
- Teamwork: Ability to work in multiple teams and leverage internal and external networks.
- Communication: Ability to communicate clearly and with confidence (verbally and in writing) with team members and key business representatives i.e. fund managers, dealers etc.
- Problem Solving: Ensuring complex regulation and its impact are communicated effectively.
- Risk Management: Understand potential risk issues facing the team and escalate.
- Leadership: Take ownership of the remediation of issues when identified.
- Good planning, organizational and prioritisation skills are essential.
- Ability to work effectively under pressure and meet tight deadlines.
- Support and train junior members of the team.
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