Summary Sheet: Accounting
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|Advertiser Name||Finshore Partners||Advertiser Type:||Agency|
|Country:||United Kingdom||Location:||United Kingdom|
|Language:||English - United Kingdom (en-GB) ||Contact Name:||>Tom Wade|
|Employment Type:||Permanent||Workhours:||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
- 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.