Job
Description
Role Overview: As a Senior Analyst, you will be responsible for maintaining a robust control environment and providing essential support to Investment Teams for efficient pre- and post-trade mandate restriction monitoring. Your role will involve overseeing complex tasks, handling ad-hoc requests, and ensuring the timely and accurate delivery of daily operational activities in a dynamic and fast-paced environment. Key Responsibilities: - Work within a team responsible for Investment Restriction Compliance Management, including violation oversight, onboarding, and query resolution. - Oversee daily reviews of overnight violation monitoring, escalate issues, and track them through to resolution. - Collaborate with Investment Desks, Product, and Client Executives across asset classes on investment guideline matters and pre-trade violation overrides. - Maintain broker and ready-to-trade coding in Aladdin and assist Trading Desks with related queries and escalations. - Deliver and review mandate investment guideline onboarding and change activities, supporting control implementation on the Aladdin platform. - Process and capture commitments from IMAs, regulations, or internal teams. - Collaborate with internal teams and vendors to ensure best practices and a consistent control environment. - Respond to audit, regulator, and client queries, ensuring timely and accurate delivery of responses. - Identify process gaps, troubleshoot issues, and communicate risks while proposing effective solutions. - Participate in projects and working groups related to new markets, instruments, or mandates, assessing impacts on restrictions monitoring. - Coach and mentor junior team members, ensuring training materials and procedures remain current. Qualification Required: - Strong experience in Investment Restriction Monitoring and compliance processes within Asset Management. - Hands-on experience with Aladdin (or equivalent portfolio management systems). - Solid understanding of investment guidelines, regulatory compliance, and mandate restriction management. - Proficiency in Microsoft Excel; working knowledge of Word, PowerPoint, and SQL. - Excellent communication and stakeholder management skills, with a proven ability to collaborate across teams. - Strong attention to detail and accuracy in reviewing documentation and compliance checks. - Demonstrated ability to work under pressure and meet strict deadlines in a fast-paced environment. - Proven leadership and mentoring skills, with the ability to support junior colleagues. Additional Company Details: The company values individuals with knowledge of investment restriction regulations such as UCITS, SFDR, and SDR, as well as prior involvement in change initiatives or process improvement projects. Experience working with regulatory audits or client visits, exposure to risk assessment, policy setting, and control frameworks, familiarity with broader investment products and asset classes, and understanding of data management and automation opportunities in control processes are considered advantageous skills for this role.,
