Control Manager

A vacancy for a Control Manager has arisen in the Operational Compliance Unit (OCU) of a top Asset Management firm. This newly created position is an oversight role, ensuring that client data is assessed and coded correctly on the guideline management systems, Sentinel and thinkFolio.

The Control Manager will also be responsible for the department’s operational risk management framework and work in conjunction with the Risk Team to assess the risk profile of the department. The role will involve the oversight of both the London and Hong Kong OCU teams, ensuring that there is consistent delivery of the global OCU process.

Key responsibilities include:

• Act as subject matter expert (SME) on Sentinel and thinkFolio (tF) and be the point of contact within Operations for all issues related to these systems and other associated systems used within the guideline management process.

• Lead on process design and development - ensuring that established operational compliance procedures and controls are maintained globally at every stage of the investment decision implementation process so that no breaches of client mandate or regulatory rules remain undetected.

• Ensure that effective training in the use of Sentinel and tF Compliance is provided to all users – both OCU and to the wider business.

• Oversee the assurance function for Regulatory Reporting (RR) processes – working alongside the RR Manager.

• Prepare monthly management reports to explain the scope, adequacy and risk profile of the OCU function.

• Implement the annual coding assurance programme

• Deputise for the Head of Compliance when participating in Sales presentations (consultants and clients), featuring the process and risk controls within the OCU process.

Skills / Experience required – Essential:

• Detailed understanding of Sentinel and Sentinel rule coding techniques
• Good working knowledge of thinkFolio Compliance and thinkFolio rule coding techniques
• Detailed understanding of reference data as represented by vendors: Index Providers, Bloomberg, Reuters, IDC FactSet
• Good working knowledge of legal terminology used for guideline management and ability to analyse legal agreements
• Good working knowledge of the investment decision making and trade implementation process
• Understanding of regulatory regimes in Ireland and UK
• Basic understanding of operational risk management controls
• Proven experience in a relevant asset management function
• Strong communication skills
• Attention to detail and ability to undertake root cause analysis
• Ability to work well under pressure
• Ability to analyse operational activity for management reporting

Preferred:

• Graduate with at least five years asset management experience
• Direct working relationship with the front office in an asset management house
• IMC qualified or preparing for exams (or local equivalent)

December 5, 2014 • Tags:  • Posted in: Financial

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