Senior Compliance Monitoring Manager
The Opportunity:
• This is a dedicated role concerned with the implementation of the accurate and effective capture of client and fund mandates into LZ Sentinel
• Working within a high profile and well respected team / business function, this position has lots of exposure to the business, namely fund managers, transition teams, product management, compliance etc. This team is considered the “subject matter expert” within the business and the profile of the members is high
• A large proportion of your time will be spent ensuring the smooth running of the transition process, ensuring that all regulatory and client restrictions can be coded into Sentinel, and where guidelines are deemed non-programmable, that appropriate procedures and controls are agreed with Investment Managers
• A large part of this role will also be proactive in nature and you will be required to evaluate new investment regions, products and securities to ensure that these are compliant with mandated and regulatory guideline restrictions before investment commences
• You will also be required to provide key monthly management information to indicate (and manage) key risks and controls for your assigned accounts
Your Experience:
• You will have a record of academic achievement, along with most likely a pass in a recognised industry qualification (IMC; IAQ etc.)
• You will have had significant exposure to the investment process, and have an appreciation of the trade flow from the investment managers, dealers, back office
• It is likely that you have knowledge of a pre-eminent guideline monitoring system (Charles River; Sentinel; thinkFolio), with the proven ability to interpret investment mandate agreements and interpret the nuances of them. The ability to amend “code” is important. N.B. You do need to be an “out and out” coder, however, confidence around this subject will be very useful
• This position is high profile in nature and requires the effective interaction with a number of key business areas. Therefore, excellent communication skills are a “must have”, along with the confidence to interact with key investment professionals
The Company:
• A Global Asset Manager with an enviable reputation amongst it’s peers
• Possesses a work culture that promotes both personal and professional development
• Located in close vicinity to excellent transport links
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