Investment Portfolio Compliance Manager / Developer (Frankfurt)- Asset Management Firm- 20/05/19

Responsible and primary focused on rule implementation of investment guidelines of the asset managers portfolios to ensure investment guideline/mandate client, regulatory and internal investment compliance

-External: permanent change of regulatory environment,increasing auditor focus, increasing Investment Guideline complexity
-Internal:Increasing global coverage of Portfolio Management (PM), onboarding of international PM teams, increasing coverage of various client jurisdictions, increasing onboarding of additional asset classes, increasing Investment Guideline complexity, roll-out of new monitoring systems


-Implementation and coding regulatory and contractual investment guidelines in compliance systems
-Interacting with CAM and PM as well as Products and Legal department on regulatory and guideline questions as well analysing and interpreting regulatory documents and client guidelines.
-Reviewing, analysis, qualification & commenting on investment and regulatory guidelines violations related to rule implementation and seek for clarifications
-Support the development of a global Investment Guideline Compliance function and work in such environment, incl. continuously improving coding principles, guideline standardisation and rule coverage and automatization
-Working with internal IT and external vendors on technical implementations.
-Being involved in projects which aim to enhance the processes and systems.
-Understanding investment instruments and portfolio management
-Investment Guideline knowledge (contractual and regulatory)
-Experience in programming languages as SQL and VBA
-Knowledge of investment compliance systems
-Data analysis, analytical and problem solving
-Stakeholder Management (internal & external)
-Bachelor’s Degree or higher, preferably in Business, Finance or related subjects, affinity with numbers, financials & corporate governance
-Programming language SQL and/or VBA experience
-Significant practical experience of at least one industry recognized compliance monitoring system ie Charles River, Bloomberg, Aladdin, Sentinel, Thinkfolio, MIG21 etc
-Fluency in English in writing and verbally
-Background and experience in working within multidisciplinary/international teams



Contact Details

Name: Alexia Brodie Cooper


Number: 0207 183 0070

Posted: 20/05/19