Portfolio Compliance Analyst – Asset Manager
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Location
London
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Discipline:
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Job type:
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Salary:
£55,000-£65,000 basic salary plus package
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Consultant:
#
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Email:
emanson@merje.com
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Job ref:
EM/15185
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Published:
about 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