MERJE
Investment Compliance Analyst - Fund Manager
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An established and highly regarded fund management business is looking to appoint an Investment Compliance Analyst.
This is a hands-on role sitting at the intersection of Investment Operations, Compliance and the Investment teams, with responsibility for ensuring portfolios remain within applicable client, regulatory and internal investment restrictions. The successful candidate will take ownership of investment restriction coding and monitoring, alongside the investigation and management of potential mandate breaches.
The role would suit someone currently working within Investment Restrictions, Investment Compliance or Investment Operations who understands the importance of robust controls within an asset management environment.
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The role
You will be responsible for the ongoing coding and monitoring of investment restrictions within the firm's Order Management System, including:
- Coding and maintaining investment restrictions and controls within Charles River
- Managing the daily breach process, investigating potential and confirmed breaches through to resolution
- Working closely with Compliance, Client Services and Investment teams
- Maintaining and auditing investment restriction coding and associated manual controls
- Implementing changes to coding as client mandates or regulatory requirements evolve
- Managing restricted stock lists, internal stop lists and eligible country, market and asset-class controls
- Producing relevant management information for governance committees
- Supporting the wider Portfolio Services team and contributing to effective operational resilience.
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About you
We are looking for someone with previous experience within an asset/fund management environment, ideally gained within Investment Compliance, Mandate Compliance or Investment Operations.
You should have a good understanding of investment restriction coding and monitoring, together with experience using Charles River or another recognised OMS.
You'll need to be organised, proactive and comfortable taking ownership of your workload, with the confidence to investigate issues, challenge where appropriate and communicate effectively across investment, compliance and operational teams.
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