Investment Management & Risk Oversight

Investment Compliance / Restriction Monitoring:

• Conduct daily post-trade (FCA COLL - Investment & Borrowing Powers) analysis of portfolios to ensure adherence to risk limits and guidelines.
• Identify, assess and escalate breaches or risk limit exceptions and support resolution.
• Ensure that funds comply with regulatory, scheme documentation investment limits and eligibility assessment.
• Review, analyse and report to all parties breaches of any risk limits.
• Support eligibility assessments, investment restriction reviews and model portfolio analysis for new fund launches, strategy changes and proposed investments.

Governance and Reporting:

• Risk Reporting – Generate regular and ad-hoc risk reports for senior management and governance committees. Enhance risk reporting process, implement and support automation for reporting efficiencies.
• Produce management information and oversight reporting for governance committees and senior management.
• Support committee meetings through preparation of papers, maintenance of action logs and tracking of remediation activities.
• Escalate material issues and breaches in accordance with Apex FundRock governance procedures.

Regulatory and Stakeholder Management:

• Deal with routine and ad hoc queries from sponsors, investment managers, depositaries and other third parties.
• Liaise with appropriate firms who support the team: e.g. custodians, fund accountants, fund auditors and lawyers, as directed
• Keep abreast of regulatory change.

Skills required/needed:

• Degree educated in Finance, Economics, Mathematics with further professional qualifications (e.g. IOC, IMC, CISI or other industry recognised equivalent) an advantage.
• A minimum of 3-5 years' experience within an authorised fund manager, asset manager, depositary, investment risk, investment compliance, investment oversight or fund governance environment.
• Excellent knowledge and experience of the UK regulatory environment and rules prescribed in the FCA Handbook, in particular the, CIS, COLL, FUND, COBS and SYSC sourcebooks; and demonstrate knowledge of international investment regulations e.g. ESMA, AIFMD etc.
• Demonstrate good communication skills, both written and oral and be able to converse internally and externally with personnel at all levels
• Independent thinking to find efficient and innovative ways to solve problems.
• Meticulous attention to detail.
• Proficiency in investment monitoring systems, liquidity and risk analytics tools, compliance platforms e.g. MSCI Risk Metrics; High Wire, Charles River or Aladdin.
• Proficiency in Excel is a requirement. In addition, an understanding of data analysis tools / methodologies (e.g. macros, Python, SQL, VBA) is a plus
• Ability to function in a dynamic and ever-changing environment.
• Strong multi-tasking abilities; able to juggle conflicting priorities.
• Have a proven hands-on attitude, be flexible and adaptable.
• Observation of proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties.
• Respect the Apex FundRocks’ approach to client care and demonstrate due regard to the interests of the clients in any and all third party dealings.
• Good IT skills – intermediate Excel, Word, PowerPoint, Outlook.

What you will get in return:

• Discretionary driven bonus based on company objectives
• 25 days annual leave + public holidays
• Private Medical Cover (Employee only)
• Income protection
• Life Assurance
• Pension plan included
• Opportunity to work with a diverse, agile and global team.
• Exposure to all aspects of the business and cross-jurisdiction.
• A genuinely unique opportunity to be part of an expanding large global business + more

Additional information:

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR) please visit https://theapexgroup.com/csr-policy/

As a vital team member and in return for your expertise, inclusive approach and commitment, we'll provide a favourable salary and the chance to join a passionate and welcoming team. Benefits As a truly global business, we tailor benefits to each location to safeguard our people and respect local cultures and ways of working. Our people are our greatest asset, and we invest in talent development. Join our global network, and you will benefit from education support, sponsorship and in-house training programs.

Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.