Applied Recruitment

PORTFOLIO COMPLIANCE MONITORING ASSOCIATE, ASSET MANAGEMENT, C£45,000 PLUS BENS - CITY

This is a really great opportunity to join this major Global City based Asset Managers as part of their Monitoring Team, London Portfolio Compliance Group which sits within the Business Ops area and has wide exposure to and lots of interaction across the organisation including working with the Traders, Portfolio Managers, Global Client Group, Legal & Compliance etc.  Working with an established, forward thinking Line Manager and team this position gives a broad exposure across the Company together with a thorough understanding of the Investment Management business and would be an ideal platform to eventually move into various other areas of the business possibly Portfolio Management Support, Client Relations or Legal & Compliance.   This is an Associate level role so there is the opportunity to learn at the same time as utilising skills you have already gained with an Investment Management environment.  The department are happy to consider applications from candidates with a variety of experience as long as they have strong Investment Management knowledge and product experience.  Alternatively someone from an IM Ops or Fund Accounting background may consider this a career option.

Department Overview:

The Portfolio Compliance Group is primarily responsible for extracting, analysing, coding and monitoring client, regulatory and internal investment guidelines on the firm’s Internet and content security solutions system.  The department has two main teams. One team focuses on the coding of investment guidelines into the system for both pre and post - trade requirements. The second team focuses on the daily monitoring of portfolios compliance with the coded investment restrictions and the investigation and resolution of any exceptions. The PCG group is engaged with and provides services to many other departments across the firm, in particular; On-Boarding, Portfolio Management, Trading, Global Client Group and Legal & Compliance.

Role Key Responsibilities:

• Pre trade violation investigation and overrides
• Post Trade violation investigation and resolution
• Manual test execution
• Oversight of outsourced testing
• Identification of coding issues
• Process /system enhancements (PPI)
• Panel for Takeover and Mergers process
• Syndicate review and pre clearance
• Maintenance of Legal and Compliance Restricted Lists
• Client certifications / attestations

Role Key Requirements & Attributes:

• Experience of investment management and investment products (asset management pref) ideally gained within a monitoring environment e.g. Governance, Legal, Audit etc.
• Experience of or exposure to Fund Accounting / NAV production 
• Clear, concise communicator with the skills to develop compromises between conflicting requirements or points of view
• Drive resolutions through a “hands on” approach
• Analytical mind and approach
• Ability to self manage workloads and work to deadlines
• Strong IT skills ideally with experience of Charles River or Sentinel

 

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