Portfolio Implementation Compliance Analyst

We are seeking an experienced Portfolio Implementation Compliance Analyst on behalf of a world leading financial services firm.

The Role

Works independently on most assignments and under the direction of more senior staff on the most complex projects, analyses and tasks. Responsible end-to-end for overseeing Funds/clients’ accounts. Directly engages the Investment Group, works with Trading and other GIC teams or business groups.

Key Responsibilities

• Responsible end-to-end for Funds/clients’ accounts to ensure they are properly constructed with respect to portfolio convictions and remain in compliance with established guidelines in a timely manner.

• Constructs portfolios based on the investment convictions communicated by the Investment Group.

• Assists and may provide suggestions to the Principal Investment Officer (PIO) / Mandate Manager (MM) with cash flow management by providing timely information, executing cash allocations / call-backs, or preparing mock-ups to invest / raise cash.

• Ensures portfolios remain in compliance with client guidelines as well as all relevant internal parameters.

• Researches issues and suggest solutions to the MM and/or the PIO when needed.

• Assist in the maintenance of the Fund / mandate eligibility lists, ensuring companies purchased are compliant and may monitor companies periodically to ensure they remain eligible.

• Implements other non-routine client directed activities (e.g. account benchmark changes

• Strengthens relationships and trust with the Investment Group and Trading by anticipating needs and offering solutions

• Supports the MM and/or PIO in the oversight of more complex Fund/mandates and their investment objectives. o Develops new reports and generates existing reports to highlight discrepancies or potential areas of concern, presenting to the Investment Group as necessary.

• Prepare and may present materials in collaboration with Results for the formal review of institutional mandates and/or Funds. May include a review of portfolio positioning and PM team composition.

• May implement and coordinate more complex portfolio manager responsibility changes.

• May act as primary interface for MM/PIOs in servicing the Fund / mandate.

• Works in conjunction with the Fund Treasurer to support the tax management of certain Funds.

• Works in conjunction with the MM to make effective decisions on the management of individual account / Fund restrictions

• Facilitates new Fund or account start-ups / closures by working with multiple teams within GIC and external departments.

• Serves as a resource for multiple departments on client/investment queries.

• Participates in the training of other associates.

• May serve as technical resource to team and other departments to resolve issues and to knowledge share

• Actively shares ideas when participating in the development and enhancement of policies, procedures and controls to mitigate risk and improve efficiency.

• Participates in projects and team or department initiatives

• Collaborates with management to establish project plan.

• Identifies and assesses impacts, and communicates updates to managers and stakeholders.

• Performs additional responsibilities as assigned.

Skills & Experience 

• Demonstrates ability to be self-driven to understand how and why things work, the financial industry and/or the connections between processes and technology.

• Demonstrates a working knowledge of Portfolio Implementation and Compliance functions, and interconnections with other GIC teams policies, procedures and systems and ability to apply them to work assignments.

• Demonstrates a working knowledge of the functionalities and operational intersections.

• Demonstrates a working knowledge of the securities and investment business and the firm's investment process and ability to apply to work assignments.

• Demonstrates effective written and oral communication skills with a diverse group of associates, senior business leaders and the Investment Group.

Key Competencies

• Customer Focus - Building strong customer relationships and delivering customer-centric solutions.

• Decision Quality - Making good and timely decisions that keep the organization moving forward.

• Action Oriented - Taking on new opportunities and tough challenges with a sense of urgency, high energy, and enthusiasm.

• Optimizes Work Processes - Knowing the most effective and efficient processes to get things done, with a focus on continuous improvement.

• Organizational Savvy - Manoeuvring comfortably through complex policy, process, and people-related organizational dynamics.

• Demonstrate Self-Awareness - Using a combination of feedback and reflection to gain productive insight into personal strengths and weaknesses.