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