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Global Portfolio Compliance Manager

Information About This Job

Job Title: Global Portfolio Compliance Manager
Contract Type: Permanent
Location: London
Industry:
Salary: Up to £70,000
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: about 1 year ago

Job Description

The role is for a permeant Global Portfolio Compliance Manager within the Global Portfolio Compliance Team (GPCT) in the client's London office. 

 

About The Role

Portfolio Compliance is part of the wider Investment Risk Team. The role in GPCT, will work closely with and support the local PCTs in APac, London and the US. Ideally providing an experienced pair of hands to assist with: 

  • BAU coding, training and checking of Regulatory and IMA rule amendments in Charles River (CR) currently and longer term in Aladdin (BRS). 

  • Centralised testing and overseeing ‘general change’ to the compliance module.

  • Maintaining the integrity of the compliance system on a best efforts basis. 

The firm is currently transitioning to Aladdin, the role will support this. The role offers the candidate a rare opportunity to learn BQL, develop SQL and enhance their CR coding. 

 

Key Responsibilities

  • Liaising with the local Portfolio Compliance Teams (“PCTs”) to:

  • Provide support and advice on test coding queries, general system functionality and the validity of pre-trade & batch alerts. 

  • Performing coding reviews as required. 

  • Communicate ongoing system changes and capabilities.

  • Understand the PCT’s ‘gaps’ in monitoring and work with the appropriate teams to work towards a solution.

  • Provide training and cover as required.

  • To the extent possible, ensuring that best coding practices are upheld and followed. This includes the promotion of high standards and continuity of coding across the group. Pro-actively reviewing existing coding and implementing improvements where possible.

  • Liaising with the various ‘Compliance Teams’ globally in order to understand regulations, including updates, and code them. 

  • Conducting centralised testing and second checking of tests, functionalities, instruments and security data improvements. 

  • Coding and maintaining the groups’ master tests (CR only), regulatory libraries and group house policy rules in order to ensure the coding is as effective as possible. 

  • Performing regular system checks to help mitigate known risks and gaps. Including list maintenance.

  • On an ongoing basis improving CR / BRS compliance capability globally: including but not limited to, working with IT / Data to implement BAU enhancements, ad hoc project work and assisting IT with relevant firm wide projects. 

  • Maintaining a list of Portfolio Compliance monitoring ‘gaps’ and progressing their resolution. This also might include working directly with CR/ BRS.

  • Providing periodic management information reporting in a timely fashion.

  • Ad hoc project work.

 

Skills and Experience

The role requires the candidate to have +3 yrs. of relevant coding experience: ideally with BRS, but another monitoring system would be considered (such as CR, Thinkfolio, Sentinal or Bloomberg).

We would also consider a good candidate without this, if they had good SQL or Excel skills and a great data knowledge background. 

 

Technical Skills

  • Good knowledge of the regulations relating to investment restrictions e.g. UCITS, INSPRU, Investment Companies Act 1940 is a plus.

  • A good understanding of investment management generally and knowledge of the investment strategies and operation of complex mandates e.g. Fixed Income and Multi-Asset mandates using derivatives. 

  • Good communication skills both written and oral.

  • Attention to detail and passion for quality and customer service.

  • Good negotiation and problem-solving skills.

  • Ability to multi-task and prioritise in a fast paced environment.

  • Self starter with a pro-active attitude who is able to work in collaboration with others as part of a team.

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