Senior Investment Regulatory Specialist recruitment
Role Purpose:
The role holder works within the Investment Restrictions Control team and reports to the Investment Director, Investment Governance Derivatives.
The purpose of the Investment Restrictions Control team is to ensure that investment portfolios are being managed in line with agreed client expectations and within SLI's own tolerance for investment risk.
The Investments Restrictions Control team (IRC) are responsible for ensuring that SLI is in compliance with all Regulatory and Client restrictions and In House guidelines.
Key Internal Partners:
• Investment Process Investment Risk Management (part of wider Investment Governance function)
• Client Directors
• Portfolio Managers
• Fund Transition
• Risk Compliance and
• Global Investment Management Services.
Key Accountabilities:
To oversee the accurate implementation and monitoring of Regulatory / Client restrictions guidelines as managed by the Investment Restrictions Control team.
This includes:-
• Ensuring that the master rule suite of Restrictions Guidelines (RG) implemented against fund mandate are completely effective in terms of their intended regulatory or client objective.
• Provide input and thought leadership in the interpretation and implementation of forthcoming regulatory changes, i.e. UCITS 4 / MiFiD II.
• Daily monitoring and reporting breaches, ensuring appropriate corrective action is taken by the relevant business area.
• Provide accurate, timely and consistent Management Information to Stakeholders.
• Provide business expertise from an Investment Restrictions Control perspective during Fund Transitions Annual Reviews.
• Represent Investment Governance in Client presentations and due diligence reviews as required.
Personal Responsibilities:
• Develop self to deliver excellent performance
• Identify strengths and areas for development against future requirements
• Develop and support team members to enable them to fulfil potential
Knowledge Experience:
• Detailed understanding of global investment regulations (UCITS – COLL / Lux, SEC, FSA etc)
• A general understanding of the investment process
• An awareness of investment management systems – preferably CRIMS
Skills:
• Relationship management
• Impact Influence
• Problem analysis solving
• Monitoring evaluation
• Negotiation skills
Talents:
• Communication
• Teamwork
• Customer focus
• Decision making judgement
• Creative and innovative thinking
• Analytical thinking