Compliance Coding & Monitoring Analyst
£70000 - £80000 + Bonus + Benefits
A leading Investment Firm in London are looking for an experienced Compliance Analyst to join their team.
The role will focus on the implementation, maintenance and processes around the compliance monitoring system; 'thinkFolio'.
- Review and interpret Investment Guidelines (Prospectuses, IMA's and other Fund governing documents) ensuring these are coded into thinkFolio monitoring system.
- Attend fund launch meetings and liaise actively with the wider business to ensure identification and capture of new/amended client or regulatory requirements on a timely and complete basis.
- Proactively develop relationships with stakeholders to verify data accuracy and constraint interpretation, specifically: fund managers, dealing desk, legal, regulatory compliance and operations/IT.
- Prepare and maintain documentation on guideline restrictions and ensure these are reviewed periodically.
- Assist in ad-hoc or project tasks for system and data enhancements/upgrades.
- Build and maintain relationships with each advisor office using thinkFolio.
- Develop, maintain and enhance existing procedures and processes ensuring sufficient testing of aforementioned automated checking has been diligently carried out including peer review.
- Develop and maintain a strong working relationship with the wider Group Compliance team.
- Ensure SLA's within the business are maintained.
- Conduct annual reviews of all client and fund rules to ensure robust checks are in place.
- Take ownership of and work closely with the vendor and all relevant internal teams to ensure that the system's capabilities are enhanced and improved where possible.
- The development, maintenance and provision of management KRI's.
Skills & Experience Required:
- Knowledge of thinkFolio or a similar guideline monitoring tool in a coding or a monitoring role
- Previous experience of working in asset management is essential along with knowledge of investment products.
- Good knowledge of regulatory environments (UCITS, SICAV, 40 Act etc).
- Relevant industry/degree qualification
- Strong organization, management and interpersonal skills.
- Ability to manage and priorities multiple tasks.
- Highly analytical, with significant attention to detail
- Excellent organizational and IT skills, direct thinkFolio experience or a similar system.
- A keen interest in compliance within the investment management industry.
- A willingness to learn and develop a detailed understanding of the regulatory environments in which the firm and its' clients operate
- A self-starter who is confident and able to cope in a pressured but professional working environment
- Highly competitive base salary, dependant on experience.
- Annual discretionary bonus awards in the form of cash and share options
- 10% pension contribution
- Income Protection
- Private medical