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Hiring for an International financial services firm, offers investment solutions and services and retirement expertise with more than 2.5 million customers globally. Operating in more than 25 locations, clients range from central banks, sovereign wealth funds, large corporates, financial institutions, insurers and wealth managers, to private individuals.
Key Responsibilities • To support the Global Investment Compliance colleagues in review, analyse and comment on investment guidelines for retail and institutional products • To support review and evaluation of Investment Restrictions and recommend and implement such investment restrictions for compliance testing • To proactively support and engage actively with the broader Investment Compliance team with the account take-on process and other related compliance activities, including ensuring that compliance monitoring systems are updated accurately and timely • Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams • Identify, track, resolve and report compliance breaches in-line with internal policy and regulatory requirements • Assist in other compliance related portfolio monitoring, including aggregate ownership limits • Develop effective working relationships with other functional areas for timely receipt of information required for the completion of tasks • Provide a high quality timely service to customers
our skills and experience
Essential skills
• Experience in compliance, trade/portfolio compliance monitoring (preferred), audit and/or operations functions, ideally within asset management industry • 3-5 years experience in working in the investment management industry (preferably buy side) and of investment products
• Good understanding of trading, trade operations and fund accounting. Preference will be given to candidates with compliance and/or audit experience in portfolio management or broader financial industry. • Good understanding of portfolio monitoring processes, including the interpretation of client investment management agreements • Good IT skills including Microsoft Office, particularly Word, Excel and Outlook; Bloomberg, basic Macro and knowledge of Charles River systems (or similar compliance monitoring tools) would be an advantage. • Good instrument knowledge of equities, fixed income and derivatives • CFA or Bachelor of Business or Commerce preferred • Business-level verbal and written English communication / presentation skills • Positive team player as well as the ability to work on their own initiative • Good analytical skills, problem-solving ability and attention to detail • Investigative and questioning nature • Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes • Excellent inter-personal skills • Ability to learn quickly and make decisions that are reasonable and logical