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Senior Investment Compliance Analyst

Information About This Job

Job Title: Senior Investment Compliance Analyst
Contract Type: Permanent
Location: London
Contact Name: Ben Kinley
Contact Email:
Job Published: 10 months ago

Job Description

Key Responsibilities

  • On a daily basis, review and action flagged pre and post trade investment restrictions related to the company's regulated and segregated  portfolios

  • Review and code investment restrictions contained within relevant portfolio documentation (prospectus and investment management agreements)

  • Assist in the review of non-automated investment restrictions

  • Review investment restrictions to ensure continual compliance with portfolio documentation, market practice and applicable regulations

  • Ensure regulatory disclosures are completed accurately and in a timely manner

  • Review the Team’s processes and procedures to ensure risk controls remain effective

  • Represent the Team at internal and external meetings

  • Act as deputy to the Manager- Investment Compliance


Key Contribution Areas

  • Ensure all investment restrictions are applied accurately within timeframes.

    • All investment restrictions changes are turned around within 10 business days of receipt.

  • Liaise with stakeholders (principally fund managers, Client Account Management and Propositions) to ensure any issues are verified and monitoring systems updated with respect to investment restrictions

    • All issues raised and reported on within 24 hours of discovery.

  • Ensure regulatory reporting (Takeover Code and FCA Major Shareholdings Notifications) is completed accurately and in a timely manner.

    • Reporting is completed in a timely and accurate manner.

  • Remain aware developments to portfolios (launches, closures and restructures) and ensuring all the necessary investment restrictions have been completed to a high level of accuracy.

    • All changes completed prior to any launch or change.

  • Culture.

    • Reflect the company’s core values through demonstrating positive behaviours in relation to your objectives and all stakeholders.

    • Take ownership of your own development by ensuring that you have a clear and defined development plan that you continually review and work towards.​​

  • Risk

    • Support senior leaders in implementing and embedding the Risk Management System (RMS).

    • Understand Risk Appetite statements and how they apply to the business area

    • Ensure key business risks are fully understood, controlled and mitigated on the team to ensure local plans are delivered and we meet our regulatory requirements

    • Ensure key controls are tested and

    • Ensure Risk Events are reported, investigated and reported in accordance with the Risk Event & Escalation process

    • Undertakes all mandatory training


Skills & Experience

  • Five years or more relevant experience within discretionary investment management

  • Strong coding and monitoring experience using thinkFolio

  • Strong knowledge and application of product regulations applying to portfolios based in the UK and Ireland

  • Strong understanding of investment instruments and techniques used by discretionary investment managers


Person Specification

  • A team player

  • A confident and effective communicator

  • Ability to build and maintain strong relationships with stakeholder at all corporate levels

  • Client focussed and commercially astute - able to understand the wider the picture

  • Ability to effectively prioritise workload

  • Organised and able to multitask

  • Holds an Investment Management Certificate or equivalent industry qualification

  • Intermediate level IT skills, especially of Excel

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