Investment Control Analyst

BNY Mellon
London, United Kingdom
20 Aug 2022
15 Sep 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Company Overview:
Newton Investment Management is one of BNY Mellon Investment Management's specialists, and are a London-based global investment house with expertise in a range of disciplines, including global, regional and emerging-market equities, multi-asset strategies, absolute return investing and global bonds. A global, thematic approach to investment helps them achieve long-term perspective on global financial markets and economies, and identify areas of long-term risk and opportunity. Their belief is that responsible investment is better investment for clients and they consider ESG (environmental, social and governance) issues in relation to every company in which they invest. Newton is part of BNY Mellon Investment Management, one of the world's largest investment managers.
Job Purpose: To support and provide oversight of the Portfolio Management and overall investment process at Newton through the establishment, monitoring and escalation of investment compliance controls, and to provide support to the Newton control framework as necessary.
Key Responsibilities :
  • Undertake Daily checks that include batch compliance administration, review and escalation, Portfolio Manager rationale review and escalation.
  • Undertake regular sanctions screening checks as required.
  • Liaison with Portfolio managers, Client services and Account managers in solving portfolio related compliance issues.
  • Liaison with Investment Management Systems regarding portfolio and regulatory compliance rules coding, client and house guidelines, and ongoing system enhancements and developments.
  • Implementation and undertaking of manual portfolio and regulatory compliance controls, where necessary.
  • Administration of the Restricted Securities process at Newton.
  • Editor of procedure documents as required.
  • Produce management information, data, reports, and analysis on behalf of Investment Control.
  • Provide support to other Investment Control team members as required and contribute to key business strategic projects and initiatives.
  • Represent Investment Control in Business Process and Technology related projects as required.
  • Liaise with and provide advice to Newton Staff, particularly to the Research Analysts (RAs), Portfolio Managers (PMs) and Dealing on the Newton Investment Process as required.
  • Chair and attend Committees/Groups/Sub-groups as required.
  • Work with and advise the PMs, RAs and Dealers along with the wider business on regulatory changes affecting them.
  • Liaise with Internal Audit, External Audit and Compliance Advisory and Monitoring as required.
Experience and qualifications required:
Degree level education
1-3 years experience in Investment Management, either in a operational or control related role.

Employer Description:

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark:
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