Senior Guideline Monitoring Officer – Asset Manager – 12/05/20
Individual will assist with administration of the Firm’s investment compliance efforts, which includes identifying regulatory and legal requirements relating to the monitoring of institutional portfolios on an ongoing basis to ensure compliance with client guidelines, guideline negotiations and portfolio monitoring. Assist Head of Compliance in supervision of pre and post trade compliance.
- Post trade: Assist in supervision of daily review of accounts to ensure compliance with client guidelines and any additional regulatory requirements. Where issues arise, assist or carry out investigation of these and liaise with relevant departments as appropriate to resolve.
- Pre-trade: Ensure pre-trade team is providing relevant support to the investment desk by reviewing timely and accurately any order requests to ensure the proposed trade would not breach client guidelines.
- Support new and existing client guideline negotiations for London managed accounts, including any KVG, UCITS and AIFMD funds to be managed by any other affiliate of the Firm’s
- Incorporate new or revised guidelines as notified by the client and ensuring all systems are properly updated.
- Identify, investigate and report breaches and errors and implement safeguards to prevent further occurrences.
- Complete compliance certifications for accounts as necessary.
- Manually reviewing guideline restrictions that cannot be coded into Compliance Service to ensure portfolio compliance.
- Identify and implement process improvements, including issues relating to manual tests.
- Work closely with the Client Service, Investment Desk and GAT teams to address account transitions, errors and breaches, and other compliance matters.
- Uphold, protect and promote the FCA’s and Firm’s various policies, procedures, rules, regulations.
- Undertake all other duties and responsibilities commensurate with the role and level of this job as may be instructed by a manager.
- Compliance system knowledge (Charles River, Aladdin).
- Ability to communicate portfolio compliance issues clearly and work closely with Client Services Executives, Portfolio Managers, Legal & Compliance management and Investment Support to resolve compliance issues.
- Ability to work independently and to manage multiple competing priorities.
- Ability to work in a busy work environment.
- Self-starter that is also able to work as part of a team, with pro-active attitude towards accomplishing tasks.
- Attention to detail.
- Understanding and familiarity with regulatory elements and issues relating to Dublin/Lux funds under UCITS and AIFMD regimes.
- Monitoring compliance in fixed income, including derivatives.
- Strong understanding of fixed income securities, including derivatives.