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Compliance Analyst

Job Title: Compliance Analyst
Contract Type: Permanent
Location: City of London, London
Industry:
Salary: £60000.00 per annum + package
Reference: BBBH5923
Contact Name: Jamie Allen
Contact Email: jallen@venquis.com
Job Published: January 25, 2017 18:19

Job Description

An opportunity has arisen within this global asset management house for an experienced investment guideline specialist.

The purpose of the role:

  • Oversight and support to all fund management desks and the central dealing function in respect of investment guideline related matters.
  • Coding logic based investment guideline rules on Charles River for automated testing.
  • Working with client services teams to prepare for account on-boarding and closing.
  • Work with Operations to address any data challenges impacting rules.
  • Maintenance of the Embargoed Securities List.
  • 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.

Necessary skills:

Coding

  • Coding logic based investment guideline rules on Charles River for automated testing
  • Working with client services teams to prepare for account on-boarding and closing
  • Interpretation of restrictions set out in fund / account documentation
  • Reviewing new and existing rules to ensure compliance with account mandates
  • Interacting with Portfolio Managers on guideline related matters, particularly in respect of rule set-up queries
  • Work with Operations to address any data challenges impacting rules
  • Ensuring timely and accurate completion of assigned workload
  • Pre and post functional testing
  • Representing Investment Compliance on key business projects eg Security Set-up, Account migration

Key Skills and Competencies

These include;

  • Systems: Charles River experience is preferred however not essential. Candidates with other system experience such as Sentinel, ThinkFolio, MIG, Aladdin or TRAC will be considered.
  • Teamwork: the 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 ie fund managers, dealers etc
  • Problem solving: ensuring complex regulation and its impact are communicated effectively ensuring practical and efficient advice if provided.
  • Technical expertise: technical expertise in the key regulatory issues and rule areas including but not limited to UCITS, AIFMD, 40 Act rules.
  • Industry experience: Significant experience of guideline management compliance, including significant experience with fund management and dealing functions. Ideally with some relevant experience of hedge funds, derivatives and commodities.
  • Products: ideally experience across a range of product and instrument types including UCITS.
  • Good planning, organizational and prioritisation skills are essential.
  • Ability to work effectively under pressure and meet tight deadlines.
  • The IMC or IAQ qualification is desirable although not essential

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