Trade Compliance Analyst / Mandate Control Officer / Rule Coding / Investment Management

  • 55k - 65k
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • JJ Search
  • 13 Jun 18 2018-06-13

Our Client is boutique wealth management company based in London

The Role

 

The Compliance Analyst has the responsibility to plan, define and implement rule coding to deliver a mandate restrictions control environment on a new order management system for private client portfolios and funds

 

The Trade Compliance analyst will Identify and manage risks and ensure that adequate control processes exist and operate effectively

 

Develop your knowledge and provide cover for regulatory and non-regulatory reporting responsibilities of the Operations team.

 

The Mandate Control Officer Will Contribute to and promote robust Operating Procedures across the business

 

Develop an understanding of current mandate restriction rules across private client portfolios

 

Advise and implement industry best practice coding of regulatory, mandate and house rules

 

Provide training and advice to Operational Control team colleagues on areas of expertise

 

Work with the Operational Control Analyst to ensure appropriate system controls are implemented

 

Ensure all regulatory, mandate and internal house restrictions and guidelines are coded and ready for migration milestones

 

Define the necessary processes and procedures to manage and monitor transactions on a pre and post trade basis for an effective BAU environment

 

Responsibility for the implemented pre and post trade operating environment to achieve:

 

Assist with ad hoc monitoring of key operational control tasks and initiatives including Mifid II

 

Assist with delivery of audit, compliance and risk recommendations as they relate to Operational Controls

 

Assist with the development and maintenance of a BAU Actions and Issues Log

 

Build and present management information on pre and post trade monitoring data

 

Responsible for adhering to the written operating procedures of the business

 

Responsible for identifying procedure changes to enhance the control environment.

 

 

 

 

The Candidate

Strong RULE CODING knowledge (Essential)

 

Experience working for an investment management firm including mandate restriction experience

 

Strong understanding of compliance monitoring processes

 

Knowledge of investment products and trade lifecycle

 

Experience of rule coding and exception monitoring

 

Advent Rules Manager experience

 

UCITS rules experience

 

Compliance and controls mindset