Compliance Analyst - Investment Guidelines
Team Summary
The Guideline Management team are responsible for the drafting, implementation, coding and monitoring of investment guidelines. The team are integral to front office processes and are sat amongst the fund management team and client solutions group, working closely with them to ensure guidelines are operationally sound and that investment risk limits are adhered to.
Position Summary
The Guideline Management Analyst will be responsible for reviewing Active investment guidelines following their execution and take responsibility for the coding of pre/post-trade investment restrictions into thinkFolio, Aladdin and an Internal built compliance engine. They will also be responsible for the post-trade monitoring across U.S. clients and will be required to support the fund management team in resolving any incidents. They will assist and take the lead in Guideline related projects, suggest enhancements to existing processes and work closely with the Guideline Management Manager in the build out of the offshore team.
Position Responsibilities
- Build a detailed knowledge of all compliance systems, understanding the various risk limits and the coding capabilities.
- Ensure all new mandates/amendments are coded into systems within the agreed timeframes with a high level of accuracy.
- Work closely with the Fund Managers and Client Directors to ensure that coding has been accurately interpreted and signed off within the appropriate timeframe.
- Ensure client guideline queries from across the business are answered in a timely and accurate manner.
- Complete post trade monitoring of incidents generated by the compliance systems, ensuring incidents are proactively escalated and recorded in the relevant systems.
- Complete monthly and quarterly compliance attestations within the required deadlines.
- Support the fund managers with ad-hoc queries related to pre-trade warnings generated by the compliance systems.
- Continuously engage with IT to evolve systems; assisting and taking the lead in Guideline related projects.
- Assist the Guideline Management Manager in the build out of the offshore Team in Pune
- Work closely with Fund Management and the Client Services team in the review of guidelines - ensuring that amendments can be coded into the compliance systems and standardizing the format of guidelines across the U.S. business.
- Liaise with various internal parties (Fund Managers, Legal, Compliance, Risk, Client Directors, Traders) on Guideline Management team projects - ensuring deadlines are met.
- Proactively devise ways to reduce operational risk to the business and to increase the efficiency of processes.
Qualifications
- Minimum of a BA or BS in finance, mathematics, economics or equivalent.
- At least five years in a guideline-related function with experience of thinkFolio or Aladdin preferred but not essential for the role.
- Experience of working in Guideline related projects with a proven ability to enhance existing processes
- Proficient in using Microsoft Excel, Word, and PowerPoint.
- Strong understanding of fixed income securities.
- Strong understanding of derivatives.
Personal qualities:
- Strong ownership of role and responsibilities.
- Innovative approach to problem solving.
- Proactive, self-starter, energetic and enthusiastic individual.
- Confidence to engage with a variety of people from around the business, including Client Directors, Fund Managers, Traders, Operations, Senior Management, etc.
- Attention to detail.
- Strong numerical skills.
- Excellent organizational skills, proven ability to multitask and prioritize.
