• Member of Project Fusion with responsibility to plan, define and implement rule coding to deliver a mandate restrictions control environment on a new order management system for private client portfolios and funds
  • Plan, define and implement the required processes and procedures to operate the business as usual environment
  • Identify and manage risks and ensure that adequate control processes exist and operate effectively
  • Develop your knowledge and provide cover for regulatory and non-regulatory reporting responsibilities of the Operational Controls team.
  • Contribute to and promote robust Operating Procedures across the business


  1. Restriction Coding
  • Develop an understanding of current mandate restriction rules across private client portfolios and in-house funds and rationalise environment where applicable
  • Advise and implement industry best practice coding of regulatory, mandate and house rules
  • Define standardised restriction language and phase roll-out to teams
  • Provide training and advice to Operational Control team colleagues on areas of expertise
  1. Systems
  • Develop knowledge of in-house trading systems
  • Work with the Operational Control Analyst to ensure appropriate system controls are implemented, documented and MI generated
  1. Projects
  • Working as part of Project Fusion lead on the work stream to build out mandate restriction rules and application for both private clients and internal funds. which will then transition into a BAU role with the implementation of new systems
  • Ensure all regulatory, mandate and internal house restrictions and guidelines are coded and ready for migration milestones
  • Define the necessary processes and procedures to manage and monitor transactions on a pre and post trade basis for an effective BAU environment
  • Ad hoc involvement in new projects as required
  1. BAU Management of Mandate Restrictions
  • Responsibility for the implemented pre and post trade operating environment to achieve:
    • business confidence in the robustness and accuracy of the coding of restrictions
    • effective maintenance and monitoring of the restrictions
    • timely investigation and escalation of exceptions to relevant stakeholders
    • on-going challenge to develop processes and procedures
  1. Operational Controls
  • Assist with ad hoc monitoring of key operational control tasks and initiatives including Mifid II transaction reporting, best execution monitoring and disclosures to include:Develop technical knowledge of regulatory requirements
  • Provide cover role of daily tasks
  • Provide support in producing regulatory reconciliation reports
  • Assist with delivery of audit, compliance and risk recommendations as they relate to Operational Controls
  • Assist with the development and maintenance of a BAU Actions and Issues Log
  1. Reporting - M.I. and Regulatory
  • Build and present management information on pre and post trade monitoring data
  • Provide detailed analysis of breaches and rule overrides
  • Assist, when required, in production of monthly M.I. and development thereof
  1. Procedure reviews
  • You are responsible for adhering to the written operating procedures of the business
  • You are responsible for identifying procedure changes to enhance the control environment.
  • Assist the Head of UK Investment Management Operations with periodic procedure review process across operations requirements


  • Advanced knowledge of MS Office including word, excel
  • Strong IT skills
  • Significant experience working for an investment management firm including mandate restriction experience
  • Knowledge of investment products and trade lifecycle
  • Strong understanding of compliance monitoring processes including interpretation of discretionary client investment management agreements and COLL rules an advantage
  • Experience of rule coding and exception monitoring
  • Advent Rules Manager experience beneficial
  • UCITS rules experience helpful


  • Compliance and controls mindset
  • Process orientated
  • Technical and systems focused mind set
  • Project management capabilities
  • Strong moral courage to challenge senior stakeholders involved in the trade lifecycle