The role assists delivering a robust control environment and supporting Investment Teams to ensure effective pre- and post-trade mandate restriction monitoring all within challenging deadlines. You will provide subject matter expertise, and handling ad-hoc requests. We are looking for someone who has +3yr experience in this or a similar role and who likes working as part of a team, is comfortable with a fast-paced operations environment and has a strong attention to detail.
What you'll do
- Work within a team of analysts responsible for Investment Restriction Compliance Management: violation oversight, onboarding and query resolution.
- Deliver and oversee the daily review of overnight violation monitoring; escalate and follow through issues appropriately.
- Work with Investment desks / Product / Client Executives across all asset classes on investment guidelines related matters and issues. Providing advice and assisting pre-trade violation overrides.
- Help maintain broker and ready to trade coding in Aladdin and assist Trading Desks with initial queries and escalations.
- Assist with the delivery of mandate investment guideline on-boarding and change activities appropriate for you level of experience supporting initial impact assessments and implement controls onto the Aladdin platform. Review the coding changes done by other team members.
- Collaborate with global coding, oversight teams and other teams to implement consistency, best practice and enhance the control environment.
- Resolve queries received and deliver regular tasks to high standard of quality and in a timely manner, continuously ensuring a robust and efficient control environment.
- Assist in audit/regulator/client queries and visits coordinating requests and ensuring timely delivery of responses.
- Highlight and analyse gaps and troubleshoot errors and provide onward communication / training to message risks / gaps, propose innovative tested solutions
- Coach, mentor and train junior members of the team, ensuring procedures and materials are kept up to date.
- Handle the departmental administrative matters together with the rest of the team, and support/cover the team’s BAU tasks when required to.
- Support the development of an effective team by fostering collaboration, sharing expertise, and contributing to a positive and inclusive working environment.
What you'll be like
The knowledge, experience and qualifications you need
- Experience working in an investment guidelines monitoring / implementation role, preferably using Aladdin.
- Good policy and procedure setting, and risk assessment skills.
- Track record of collaborating with internal clients and influencing cross-functional teams to deliver high-quality service within agreed SLAs.
Technical Expertise
- Good technical understanding of the Asset Management industry in particular Investment Restrictions implementation and monitoring across a broad spectrum of investment products.
- Strong knowledge and understanding of the investment restriction regulations e.g. UCITS, SFDR/SDR, 40s ACT, Canadian Pensions.
- Proficient in Excel. Experience with Word, PowerPoint, Aladdin (or equivalent), Microsoft applications and SQL is advantageous
- Solid grasp of investment processes.
Personal Attributes:
- Excellent communication and interpersonal skills, both written and verbal.
- Positive, open-minded attitude to change and new ideas, with a creative approach to problem-solving.
- Ability to learn quickly and apply new knowledge effectively.
- Strong organisational and prioritisation skills, with the ability to manage competing demands and deliver to tight deadlines.
- Meticulous attention to detail and a focus on quality and accuracy in all outputs.
- Results-oriented, self-motivated, and enthusiastic, with a commitment to team success and client service.
- Demonstrates professional behaviour and contributes to a collaborative, innovative culture.
- Receptive to feedback, challenges the status quo, and proactively seeks opportunities for improvement.
- Thrives in a team environment, working towards a collective goal, taking joint accountability for team goals and objectives.
