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Mandate Compliance Manager

Information About This Job

Job Title: Mandate Compliance Manager
Contract Type: Permanent
Location: London
Contact Name: Mark Foy
Contact Email:
Job Published: 9 months ago

Job Description

You will be responsible for the coding, monitoring and breach management of all client, regulatory and “house” rules for all company clients. This role will also provide cover within the Investment Oversight team.


Key Responsibilities

  • To undertake an initial audit of CRD coding, and manual controls around client, regulatory and house rules;

  • To implement a 3 year rolling audit programme to ensure coding and manual controls are kept in line with client, regulatory and fund manager expectations;

  • To take responsibility for all restriction coding and controls in relation to new clients or new fund launches;

  • To implement any changes to manual controls or CRD coding when required by clients, regulation or in-house;

  • To manage the daily breach process, liaising with the Compliance and Institutional teams as required and where appropriate the Investment Team;

  • To manage the coding and management of audit trail around the internal stop list;

  • To manage client specific restricted stock lists;

  • To maintain the coding around eligible countries, markets, IDs and asset
    classes for clients;

  • To produce relevant MI for the company’s governing Committees as required;

  • To provide cover for absence cover within the Investment Oversight team;

  • To ensure that training is received from and given to other members of the

  • Investment Oversight team in order to facilitate absence cover.


Skills & Experience

  • 5 years experience in investment management, at least two of those in operations or compliance

  • A working knowledge of Charles River;

  • Basic knowledge of compliance mandate restriction coding is preferred;

  • Previous experience in Investment Management, ideally in either Investment Operations or Compliance;

  • Working knowledge of UCITs regulation and both UK and Luxembourg

  • Ability to work on own initiative and without constant direct supervision, with a proactive approach;

  • Ability to prioritise, work well under pressure in a busy environment and to

  • Ability to communicate clearly and interface with all relevant business areas

  • A willingness to challenge and question

  • Systematic and organised

  • Energetic, enthusiastic and positive

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