Compliance Operations Analyst - Investment Management

Recruiter
Market Talent Limited
Location
London, United Kingdom
Salary
£40k - £50k
Posted
30 Jul 2022
Closes
29 Aug 2022
Ref
16134687
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
The role resides within the UK Investment Management Operational Control team and involves a close working relationship with the Investment Management Front Office and Middle Office as well as Central Support teams (Compliance, IT etc.) that constitute the UK Operations resource. This is an analytical role involving close and regular interaction with organisation's portfolio, coding restrctions and reporting on transactions.

Investment Restriction
  • Interpretation of business requirements relating to restrictions and translating this into data measurable language/parameters in rule coding method application for BAU operational requirements. Rationalising the environment where applicable, defining and standardising restriction language.
  • Coding all regulation and client mandate restriction rules into compliance system Advent Rules Manager. Methodical approach to problem-solving rule coding and testing. Advising on best practice standards.
  • Analysis of data requirement in rule coding.
  • Manage all aspects of system user interface on Advent Rules Manager and exception fail management.
  • Liaise with the wider technology scope owners to coordinate interdependencies with systems resolve data issues to aid the rule coding methodology process.
  • Liaise with other business areas such as Investment and CRM Teams, Risk & Compliance for interpretation guidance on all areas in investment restrictions.
  • Development and implementation of all written operational control procedure documents for Rule Coding construction on compliance system Advent Rules Manager.
  • Development, design and implementation of business in-house SharePoint database platform housing front office client discretionary, advisory, execution only portfolio investment restrictions, investment objective reviews and attestations.
  • Controls framework implementation of Restricted Dealing on insider information controls, relating to Market Abuse.
  • Advise provided on how to implement Sanction Restrictions.

Pre & Post Trade Compliance Monitoring
  • BAU functionality of pre and post trade monitoring. Monitor compliance investment mandates, trade guidelines, applicable regulatory requirements and best practice.
  • Monitoring all override functionality and exception fail management.
  • Investigating and escalating to relevant stakeholders in the business.
  • Development and implementation of all written operational procedure's documentation for Pre & Post Trade Monitoring.

Regulatory Reporting and Implementation Controls
  • Daily monitoring of Transaction Reporting, uploading to UNAVISTA.
  • Monthly Best Execution testing and monitoring for UK Jurisdiction trades.
  • Quarterly Regulatory Reporting, monitoring and filings for US SEC 13F , 13G Regulation.
  • Daily monitoring of Shareholder Disclosure and Takeover Panel - implementation framework with third-party provider Funds Axis. Filings and returns to FCA.

REQUIREMENTS

QUALIFICATIONS AND EXPERIENCE
  • Experience working in relevant industry operational roles
  • Knowledge of investment products and trade lifecycle
  • Strong understanding of compliance monitoring processes including interpretation of discretionary client investment management agreements and COLL rules an advantage
  • Experience of rule coding and exception monitoring required but not essential
  • Advent Rules Manager experience beneficial
  • UCITS rules experience helpful

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