This position is responsible for working with the Compliance Analyst system and to help clients monitor their investment manager's investment guidelines. Day-to-day responsibilities for the Compliance Analyst system component include reviewing client investment guidelines, setting up the guidelines on the Compliance Analyst system, testing to ensure desired output, ongoing client servicing and attend meetings as required by clients or internal partners. Day-to-day responsibilities also include reviewing all triggered messages, investigating the output and notifying the client of any true violations.
The incumbent of the role will expected to have a sufficient knowledge base to act as Subject Matter Expert and be comfortable at engaging in conversations with clients, investment managers and the product team to articulate requirements pertinent to the ability to provide compliance services.
Principal Responsibilities
Act as subject matter expert for Compliance Product offeringInvestigate daily breach monitoringAnswer client queriesCreate guideline reviewsAttend client meetingsEnsure rule set-up in system for new mandate implementationsProduce monthly reportsData inputs into Compliance system to enable monitoring where requiredProvide custom client solution supportEngage new client implementationsProvide oversight of off shore team, as well as mentoring and supporting their development to help assist London Client Service teamWork and support new system implementation initiative as and when requiredProvide new business/sales process supportSkills / Experience
Excellent verbal and written communication skills.Extremely detail oriented with strong planning and organizational skills.Familiarity with investment manager guidelines and language used in investment manager agreements.Knowledge of financial markets, investment instruments and portfolio management strategies.Knowledge of fixed income and derivatives asset classes would be advantageous.Familiarity with various investment styles, asset classes, strategies for achieving performance goals, benchmarks, and investment related terminology. Interest in researching topics, such as substantial shareholder limits and other topics related to our clients' investment requirements for their global investments.Experience with industry vended compliance monitoring systems such as Charles River, Bloomberg POMS, RCB Dexia, etc. and/or Mutual Fund Compliance and Risk Monitoring experience is a plus.Solid working knowledge of ExcelExperience with Bloomberg, Moody's, S&P, and Fitch a plus.Knowledge of and interest in writing Excel macros and creating custom reports using VBA, and/or Business Objects, is a plus.Strong team player
Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
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