Role Overview
The Portfolio Compliance Oversight Team, based in London, is the team responsible for Ongoing compliance monitoring, implementation and maintenance of Investment Restrictions, ensuring effective pre and post trade mandate restriction controls and governance – covering a wide range of products including (but not limited to) Equity, Fixed Income, Multi Asset, Solutions, QEP, EMD/Commodity and Property via our monitoring systems – predominantly Aladdin.
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 +1yr 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: onboarding, violation oversight and query resolution.
- Assist with the delivery the daily overnight violation monitoring; helping with escalations and following up issues appropriately.
- Work with Investment desks / Product / Client Executives across all asset classes on investment guidelines related matters and issues. Potentially providing advice and assisting pre-trade violation overrides.
- Ensure tasks are completed in accordance with procedures and delivered within agreed service levels.
- Help maintain broker and ready to trade coding in Aladdin and assist Trading Desks with initial queries and escalations.
- Aid delivery of mandate investment guideline on-boarding and change activities appropriate for you level of experience and review the coding changes done by other team members.
- Review, update, test and troubleshoot errors, if any, on rules due to simple investment guidelines changes.
- Maintain updated procedure notes covering general processes around new functionality as it arises.
- Liaise with peers in team and internal clients to deliver service to acceptable quality
- 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. Ensure any missed deadlines are communicated and recorded appropriately
- Assist with audit/regulator/client queries and visits coordinating requests and ensuring timely delivery of responses.
- Handle the departmental administrative matters and projects 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.
- In line with your experience 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.
What you'll be like
Technical Expertise
- Experience Investment Restrictions/Guideline Monitoring role, preferably using Aladdin.
- Demonstrated proficiency in analytical tools, a familiarity with Excel and Word. PowerPoint, Visual Basic, Access, and SQL would be beneficial.
Personal Attributes:
- Strong 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.
