Charles River Portfolio Analyst
The role is for a Portfolio Compliance Manager / Specialist within the Operational Risk and Portfolio Compliance Team overseeing portfolio compliance for its London institutional fund management business.
Team Overview
Overall the team is responsible for the following:
Operational Risk Management, Monitoring and Reporting
Portfolio Compliance Monitoring; and
Trade Execution Monitoring.
But this role will be primarily focussed on portfolio compliance.
The team reports into the Risk function.
Overview of role
The role has regular contact with: Business Area COOs; Fund Management Teams; Client Service Teams; Portfolio Services; Transitions; Risk Managers; Internal Audit; Compliance; and Legal.
Primary tasks and responsibilities:
Portfolio Compliance
Liaising with the Transitions Team, Client Service and Fund Managers to ensure that investment restrictions are (i) clearly documented and understood; and (ii) can be effectively monitored.
Ensuring that investment restrictions are accurately coded on Charles River or that alternative monitoring processes are in place
Perform daily investment restriction monitoring
Liaise with the Compliance Teams globally in order to understand investment regulations
In conjunction with the Compliance Teams globally advise Fund Managers on the permissibility of investments
Secondary tasks and responsibilities:
In addition from time to time there may be involvement in the following secondary tasks:
Trade Execution Monitoring
Perform monitoring testing in relation to trading policies to ensure that execution and allocation is in accordance with Group Policy.
Operational Risk
Advising on and drafting policy and procedures
Maintaining the operational risk database, SWORD
Investigating and reporting on operational errors
Preparing and reporting management information relating to the control environment (either Risk Profile Reports or Control Self Assessments)
Client Liaison / Assurance
Responding to clients on matters relating to the control environment
Reporting regular risk and compliance related information to clients
Qualifications and Skills
Degree or A-levels with equivalent on-the-job training
A good understanding of Charles River (preferably) or other investment restrictions checking software
A good understanding of investment restrictions checking systems / process
A good understanding of the regulations relating to investment restrictions
A good understanding of investment management generally
Good communication skills both written and oral
Good interpersonal skills (e.g. negotiations and problem-solving skill)
Attention to detail and passion for quality and customer service
Excellent time and work management
A good working knowledge of Microsoft PowerPoint, Word and Excel
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