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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: Mark Foy
Contact Email:
Job Published: 7 months ago

Job Description

Our client, a leading London based asset management and financial services firm is currently looking to hire a Senior Compliance Analyst to join their busy team investment compliance team.



Key Responsibilities

The investment compliance team’s 4 main responsibilites are:

  1. reviews and monitors investment restrictions (pre and post trade)

  2. interprets and codes investment restrictions

  3. monitors and submits regulatory disclosures

  4. advises on operational regulatory matters


The role principally fulfils the Team’s first, second and third purposes, and reports into the Manager - Investment Compliance.


Core Accountabilities

  • On a daily basis, review and action flagged pre and post trade investment restrictions related to company 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 Ares

  • 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 the company meets 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

    • Risk Measures

      • Apply risk management techniques in your day to day role

      • Regular risk reports demonstrate effective management

      • Control frameworks regularly tested with improvement plans agreed and implemented

      • Risk, Compliance and Internal Audit reports do not identify any significant unknown risks/weaknesses


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 multi task

  • Holds an Investment Management Certificate or equivalent industry qualification

  • Intermediate level IT skills, especially of Excel

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