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Investment Mandate Control Analyst - Asset Management - London - Perma


Summary Sheet: Accounting

    
Advertiser NameFinshore PartnersAdvertiser Type:Agency
Classification:AccountingSubclassification:
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


Description:

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.



Key


Responsibilities

  • 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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