Portfolio Compliance Analyst – Asset Manager

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  • Salary:

    £55,000-£65,000 basic salary plus package

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  • Published:

    over 2 years ago

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