Responsible for the day to day monitoring of real time trading activity and investment controls including the review of pre-trade alerts generated by Charles River covering client, regulatory and internal restrictions. You will also be required to provide general compliance advisory support during the order generation / portfolio modelling process to ensure any investment control/fund restriction issues are resolved in a timely manner. Within 12 months this role will develop into a front office compliance advisory role involving all aspects of advisory work.
- Serve as the first point of contact for investment management on pre trade issues and queries.
- Review, research and close pre trade alerts (including overriding alerts).
- Review relevant restrictions and pre clear portfolios for eligibility to participate in IPOs, secondary placings, unlisted securities, etc.; in addition, perform sanctions checks on such investments.
- Work with the business and, as necessary, Investment Compliance colleagues globally to resolve any identified exceptions and escalate any material issues as appropriate; ensure breaches are dealt with appropriately.
- Resolve client third party administrator and custodian queries regarding potential breaches.
- Maintain the restricted list on the Charles River pre trade system.
- Aggregate limit reviews and monitoring (including fund/account transitions).
- Provide advisory support generally, including, for example, guidance on UCITS eligibility, limits and concentration rules and application of compliance policies.
- Participate in systems projects (e.g. systems upgrades and enhancements to functionality and data) and other ad hoc projects as required.
- Assist in providing training to the business where relevant.
- Essential to have experience of trade or portfolio compliance monitoring
- Charles River experience would be highly beneficial
- Experience of working in the investment management industry
- Strong understanding of portfolio monitoring processes
- Good knowledge of UK, Luxembourg and Irish regulations relating to investment restrictions (e.g. UCITS and AIFMD) is essential
- Good asset class knowledge of equities, fixed income and/or derivatives.
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Josh Rubin () at Twenty Recruitment.
Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.