Newton, Investment Control Analyst

  • Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • BNY Mellon Investment Management
  • 25 Sep 18 2018-09-25

Newton, Investment Control Analyst

Job Purpose:

To facilitate Newton's investment process by providing advice, support and oversight for the first line of defence through investment related systems, controls and conducting surveillance activities at the house level from a first line perspective.

Company Overview:

Newton Investment Management Limited is an active investment management firm, using thematic ideas about the long-term investment landscape to create and manage strategies that help secure clients' futures. Newton thinks on a global basis, with its single London-based investment team working collaboratively across asset classes and regions. The firm builds bold solutions, designed to meet the real-world challenges clients face, and the team manage them responsibly in the broadest sense - through embedding environmental, social and governance considerations, and engaging on issues that affect their clients. Those clients are based around the world, and include pension funds, corporations and charities and, via Newton's parent company BNY Mellon, individuals.

With offices in London and New York, Newton has £49.8bn assets under management (as at 31 March 2018), including assets managed by Newton Investment Management Limited as dual officers of Newton Investment Management (North America) Limited and The Bank of New York Mellon. News and other information about Newton is available at www.newtonim.com and via Twitter: @NewtonIM.

Key Responsibilities:


  • Management of Newton's Investment Universe, including control implementation and management, front office liaison and reporting as required.

  • Management of the Newton Restricted Securities regime, including the monitoring of securities and transactions relating to concentration and liquidity risks, regulatory investment maximums and disclosure requirements.

  • Management of Newton's relationship with the BNY Mellon Global Holdings Reporting Team and the functions outsourced to this group.

  • Charles River Investment Guideline management and reporting, including Chairing the Investment Guideline Oversight Group.

  • Oversight of the House rules apparatus on Charles River.

  • Ensuring the Derivative Process at Newton has sufficient controls, structure and documentation.

  • Manage direct reports to assist in the functions and responsibilities of Investment Control.

  • Assist in the Counterparty Process at Newton including ensuring counterparty controls, records and documentation are in place.

  • Assist in the coordination of MNPI events and controls.

  • Participate in the governance structure as required

  • Investigate issues relating to OpRisk events and liaise with the Operational Risk team as required

  • Participate in investment control related projects.

  • Liaise with internal audit, external audit and compliance monitoring as required.

  • Liaise with Newton Staff, particularly PMs, RA and Dealing over Investment Process and control related issues.


Qualifications

Key Competencies:

  • Knowledge of the Investment Management Industry
  • Understanding of Client lead Investment Restrictions
  • Knowledge of Equity, Fixed Income, Foreign Exchange and Derivative Markets
  • Good Organisational Skills
  • Good understanding of Compliance and Risk Management processes

#LI-CS1

For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.

As one of the world's leading investment management organizations and one of the top U.S. wealth managers, BNY Mellon Investment Management combines agility, insight and scale to create and deliver strategies and solutions to address our clients' needs. Encompassing BNY Mellon's investment management firms, wealth management organization and global distribution teams, we draw on deep expertise to collaborate with clients and tailor our best ideas and resources to meet their specific needs. We pride ourselves on providing dedicated service through our network of global professionals who have a deep understanding of local requirements. With our extensive experience in anticipating and responding to the investment and financial needs of the world's governments, pension plan sponsors, corporations, foundations, endowments, advisors, intermediaries, individuals and families, and family offices, BNY Mellon Investment Management is dedicated to helping clients reach their goals.

BNY Mellon is an Equal Employment Opportunity Employer.

Primary Location: United Kingdom-Greater London-London
Job: Asset Management
Internal Jobcode: 50345
Organization: Newton-HR06148
Requisition Number: 1811521

Tags: EFC:EMEA:2-I