Responsible for monitoring global equity, global fixed income and multi-asset portfolios to ensure investment guideline/mandate compliance.
Review, interpret and summarize investment guidelines for new mandates. Ensure proper restriction coding in firm order management systems (Bloomberg AIM); test new and existing investment restrictions, and ensure applicable investment guideline updates are implemented in a timely basis.
Administer additional control and monitoring functions, such as regulatory reporting at a Global level (Dott Frank, Mifid 2, EMIR, FinFrag, ASIC etc.)
Work with third party providers to ensure an efficient and accurate process and ensure that any service issues are resolved promptly. Utilise third party provider technology, forums and expertise, where necessary, whilst also ensuring that the third party is meeting the services agreed in the Service Level Agreement.
Interact and coordinate with Portfolio Managers, Legal & Compliance, Operations, Technology, Sales, Operational Risk and Client Service on a regular basis; maintain a high degree of visibility within the organization
RESPONSIBILITIES / DECISION MAKING / ADVICE
Describe the typical decisions this position is required to make, the advice the position is able to give clients and who is affected by these decisions.
Decision making is required for this position
Describe those issues or problems that must be referred to others for decisions.
KNOWLEDGE AND EXPERIENCE REQUIRED
- What knowledge, skills and abilities are necessary to perform this job in a satisfactory manner:
- Demonstrated and progressive experience within Financial Services is essential.
- Proven experience within regulatory functions (Investment Compliance or Fund Compliance) or functions within Trading support, Operations or Audit highly desirable.
- Regulatory reporting knowledge on EMIR, MIFID II, including transaction, valuation & collateral reporting.
- Previous investment operations experience within a Back Office or Middle Office of Asset Management Firm or Buy side is preferred
- Good knowledge of a range of asset classes, such as Equity, Fixed Income, Collectives and Derivatives as well as Investment life cycle knowledge
- Proficiency with Microsoft Office suite, with advanced working knowledge of Excel
- What type of specific prior experience (if any) is required for someone to do this kind of job:
- BS / BA degree. Accounting, Business, Finance, or Management Information Systems preferred.
- 2-3 years of proven experience within regulatory functions (Investment Compliance or Fund Compliance) or functions within Trading support, Operations or Audit highly desirable.
- Strong technical understanding of fixed income instruments, currency hedging, derivatives (futures, swaps, forwards, etc.), and UCITS/ Mutual Funds preferred.
- Strong written and verbal communication skills
- Project or change management experience would be beneficial
- High degree of integrity and professionalism.
- Proficient Excel skills.