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Investment Mandate Control Analyst - Asset Management - London - Perma

Summary Sheet: Accounting

Advertiser NameFinshore PartnersAdvertiser Type:Agency
Country:United KingdomLocation:United Kingdom
Language:English - United Kingdom (en-GB) Contact Name:>Tom Wade
Employment Type:PermanentWorkhours:Not Specified

Position: Investment Mandate Control Analyst - Asset Management - London - Perma


Our client, a mid sized London Asset Manager, are looking for an Investment Mandate Control Analyst as a permanent member of the team.

Responsible for Pre & Post Trade Compliance monitoring to mandate & regulatory rule sets (UCITS, KAG/InvG Regulations etc.). Role to include restriction interpretation and rule construction in various Front Office Order Management systems, incident management - to include investigation process, and reporting responsibilities.

Provide a detailed list of responsibilities and specific deliverables for which the line manager holds the incumbent accountable, including any supervisory or management responsibilities. Specify actual tasks, planning, control and review activities.



  • Rule coding of new, and amending existing rules, to include validation checks of construction coded into the OMS to ensure complete & accurate
  • Completeness checks to identify and eliminate gaps in populated data thus ensuring decision making data extracts are accurate
  • To ensure that there is a full audit trail for additions and deletions from the OMS
  • Reconciliation of the OMS to external systems eg eFunds
  • To ensure the OMS pre trade overrides are valid and in-line with client requirements
  • To undertake daily OMS post trade monitoring to include; monitoring and trend analysis of new violations, repeating violations and data violations
  • To provide comprehensive breach reporting details
  • To update House Rules in a timely and accurate manner in-line with SLAs
  • To provide MI on KPIs and SLAs

Key Skills

  • Good knowledge of compliance monitoring using thinkFolio or another market leading compliance application, to include: rule construction and investigation process covering: Equities, Fixed Income, Derivatives, Unitised Schemes & Money Market Instruments.
  • At least 2 years experience in an investment management environment
  • Good understanding of derivative products, to include Futures, Options & Swaps

  • Wide knowledge of the financial services industry & financial controls.

  • Good knowledge of Regulatory regime, to include UCITS IV & V, AIFMD, MiFiD II
  • Good knowledge of EU Directive controls, to include Short Selling legislation, Sectorial Sanctions etc.

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