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- London, UK
- Full-time employment
- Posted on 12 Sep, 2018
- Start date:
- Visa Sponsor
He/She will provide support to the Front Office on queries relating to pre and post trade rules and exceptions.
This Financial Services Business is a very well known Global Investment Management Business
This Financial Services Business is looking for a Mandate Monitoring Analyst to work in their London office and carry out the following responsibilities:
* Maintain pre and post trade mandate monitoring restrictions using the 2 relevant monitoring systems: JPM TRAC and Blackrock's Aladdin systems. Tasks will include coding or instruction to third parties, review and testing for client take-on's, fund launches and IMA amendments.
* Support the off shored Mandate Monitoring' team with daily exception monitoring on JPM TRAC and other manual monitoring activities.
* Undertake automated and manual exception monitoring pre and post trade where required.
* Identify and manage risks and ensure that adequate control processes exist and operate effectively.
* Provide support to the Front Office on queries relating to pre and post trade rules and exceptions.
* Maintenance of the stop and other restricted list on pre trade systems.
* Maintain procedures documents for team tasks as required.
* Build and maintain strong relationships with UK and overseas business units.
* Assist with other Mandate Monitoring projects and initiatives including audit points and the BAU Actions and Issues Log.
* To review and interpret new and amended IMA's / Prospectus' to determine if the rules can be automated.
* Provide training and advice to other Mandate Monitoring team members on areas of expertise.
KEY PERFORMANCE INDICATORS
* Key performance indicators and service level targets met.
* Assigned project deliveries within agreed timescales.
* Neutral/positive compliance/audit comment.
* Committees. The role holder will ensure that committees and sub-committees, for which he/she is the Chair, are appropriately staffed, and deliver effectively against their Terms of Reference.
* Risk. Role holder will assure him/herself of:
* Adequacy of systems and controls for mitigating the risks in all delegated and retained responsibilities, including systems to ensure that individuals in all roles to whom responsibilities have been delegated are competent to fulfil their roles.
* The identification of risk and development of strategies to mitigate risk within your area of responsibility.
* Implementing appropriate processes for reporting and escalating risk issues
The successful Financial Services- Mandate Monitoring Analyst will have the following:
* Comprehensive in trade compliance monitoring an advantage.
* Candidate would be encouraged to work towards and gain the IMC
* Excellent organisational, time management and decision making.
* Strong understanding of the investment management process across the full range of asset classes and client types.
* Strong understanding of compliance monitoring processes including interpretation of discretionary client investment management agreements.
* Detailed knowledge of UK, Irish and Luxembourg regulation with respect to retail funds.
* Strong IT literacy as a business user. knowledge in BRS Aladdin, JPM TRAC an advantage.
* Good understanding of project management methodologies.
* Work independently
* Excellent communication skills - verbal & written.
* Extensive knowledge of mandate monitoring with an investment management organisation in relation to ensuring compliance to Investment & Borrowing Powers and client mandate restrictions. Knowledge to include rule coding and exception monitoring and resolution with investment managers.
Location: London (City)
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Michael Page has four decades of expertise in professional services recruitment. We were established in London in 1976, and over this period we've grown organically to become one of the best-known and most respected consultancies, with an office network spanning six continents.
While size has its advantages, it doesn't define us -
- Recruitment & HR
- Addlestone, UK
- 1,001-10,000 employees
- Founded in 1976