Head of Investment Restrictions Control
The Company
One of the UK's leading investment managers. A global organisation with over £150bn under management across a wide range of asset classes. Providing investment solutions ranging from core managed funds to multi-asset absolute return solutions, real estate and fund-of-funds.
The Role
You will be responsible for the day to day operations of the Investment Restrictions Control team. A front office team of investment professionals responsible for independently monitoring adherence of funds against their regulatory, client and in-house restrictions. As such safeguarding client assets, SLI’s reputation and preventing financial loss to SLI or its clients.
Continued investment into the investment restriction team is crucial as the organisation ensures it continues to be positioned successfully. Adapting to significant new regulatory developments and increasing client demands. There will be many opportunities for you to develop and specialise across asset classes, work with sophisticated products and be involved in other corporate projects.
Your role will include real time involvement in the investment process through pre-trade monitoring. Operating across the complete investment spectrum of the organisation and all regions. Generating and using management information which arises from investment activity. Working closely with fund managers, the wider investment governance function and client management teams, as well as colleagues in legal, operations and risk compliance.
The role will also require the individual to develop strong working relationships with external suppliers and advisors to ensure the provision of a high quality regulatory restriction consultancy for the firm.
Your responsibilities will include:
- Day-to-day responsibility for ensuring the teams key functions are carried out effectively and efficiently
- Development of the team operating model in line with SLI strategy
- Liaison with Fund Managers and Client Directors to define mandate restrictions, participation in annual reviews
- Real time pre-trade monitoring utilising investment management platform and post trade monitoring
- Analysing monitoring results and resolving issues, including determining appropriate action / escalation
- Present monitoring process and relevant information to clients, consultants and internal customers
- People management and personal development
- Participate in any project related work as necessary
- Contribute as required, to the broader investment governance activities, including portfolio reviews and the Risk Exposures Committee
Who are we looking for?
To be considered for this role, you must:
- Have more than five years work experience in an asset management firm
- Have more than two years experience monitoring investment restrictions
- Have experience of coding investment restrictions in vendor or proprietary systems
- Have experience in interpreting and advising on investment regulations
- Have knowledge of fixed income, equity and derivative products
- Be a confident communicator (written verbal) and possess strong influencing skills
It is highly desirable that you also have:
- Fund launch and client management experience
- Have robust Excel and basic programming experience
- Systems skills including Bloomberg, UBS Delta and Datastream
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