Risk & Compliance Analyst recruitment
They are looking to hire a Risk and Compliance Manager within the Operational Risk, Portfolio Compliance and Trading Analysis Team. The team is primarily responsible for• Portfolio Compliance Monitoring , Trade Execution Monitoring; and Operational Risk Monitoring and Reporting. They also look after investment risk monitoring, anti-money laundering and business continuity.
Responsibilities include:
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.
- Advising Fund Management Teams on the permissibility of investments.
- 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).
The successful candidate should have:
- A good understanding of investment restrictions checking systems / processes
- A good understanding of the regulations relating to investment restrictions
- A good understanding of investment management
- Experience with in Charles River - this is essential (coding experience preferred)
- Good communication skills both written and oral
- Good interpersonal skills (e.g. negotiation and problem-solving skills)
- Attention to detail and passion for quality and customer service
- A good working knowledge of Microsoft PowerPoint, Word and Excel
May 13, 2012
• Tags: Asset Management careers in the UK, Risk & Compliance Analyst recruitment • Posted in: Financial