Our client is a leading UK fund manager, offering a range of funds within each of the main investment vehicles - Unit Trusts, Investment Trust, and Venture Capital Trusts. They are a dedicated active investment management house, specialising in investments and asset management for retail investors and segregated institutional investment management. Due to ongoing growth a fantastic opportunity has come about to join their London office as a Mandate Compliance specialist

The Role

This will be a broad-based role covering some of the following key duties:

• To take responsibility for all restriction coding and controls in relation to new clients or new fund launches
• To manage the daily breach process, liaising with the Compliance and Institutional teams as required and where appropriate the Investment Team
• To implement any changes to manual controls or CRD coding when required by clients, regulation or in-house
• To maintain the coding around eligible countries, markets, IDs and asset classes for clients
• To undertake an initial audit of CRD coding, and manual controls around client, regulatory and house rules
• To implement a 3-year rolling audit programme to ensure coding and manual controls are kept in line with client, regulatory and fund manager expectations
• To manage the coding and management of audit trail around the internal stop list
• To manage client specific restricted stock lists
• To produce relevant MI for the firm’s governing Committees as required

Key Requirements

• Previous experience in Investment Management, ideally in either Investment Operations or Compliance;
• A working knowledge of Charles River (or other relevant coding system)
• Basic knowledge of compliance mandate restriction coding is preferred
• Working knowledge of UCITs regulation and both UK and Luxembourg structures
• Ability to work on own initiative and without constant direct supervision with a proactive approach
• Ability to prioritise, work well under pressure in a busy environment and to deadlines
• Ability to communicate clearly and interface with all relevant business areas
• Systematic and organised
• Energetic, enthusiastic and positive