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.
- 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
- 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