Our client is a leading asset manager with a diversified range of actively-managed products. They are a global business supporting individual and institutional investors.
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.