Senior Analyst – Portfolio Compliance

2 weeks ago

London Area, United Kingdom Lawson Chase Full time

Overview


Our client, a reputable and well established UK-based fund manager is seeking a Senior Analyst (Portfolio Compliance) to join its London office.


You will be responsible for the monitoring, breach management and coding of all client, regulatory and "house" rules for all company clients.


  • The perfect candidate will have both pre & post-trade monitoring and coding expertise using Charles River.


  • We will also consider pre & post-trade monitoring and coding expertise using another system (such as thinkFolio, BlackRock Aladdin, etc).


  • We will also consider strong technical pre & post-trade monitoring candidates who are keen to develop experience skills in mandate restriction coding.


Some key points below:


Role Overview:


  • Oversee the coding and management of investment restrictions and controls within the Charles River order management system.
  • Handle the daily breach process, collaborating with Compliance, Distribution Client Services, and, where necessary, the Investment Team.
  • Maintain a rolling audit program to ensure coding and manual controls align with client, regulatory, and fund manager requirements.
  • Implement updates to manual controls or CRD coding driven by client needs, regulatory changes, or internal policies.
  • Manage coding and maintain a robust audit trail for the internal stop list.
  • Oversee the implementation and management of client-specific restricted stock lists.
  • Ensure accurate coding for eligible countries, markets, IDs, and asset classes as per client mandates.
  • Generate and deliver relevant management information (MI) for governing committees as needed.

Key Qualifications & Skills:


  • Technical Expertise: Strong understanding of compliance mandate restriction coding is preferred.
  • Regulatory Knowledge: Familiarity with UCITS regulations and UK/Luxembourg fund structures.
  • Self-Starter: Capable of working independently, taking initiative, and proactively addressing challenges without constant supervision.
  • Time Management: Ability to prioritize tasks, perform well under pressure, and meet tight deadlines in a dynamic environment.
  • Communication: Clear and effective communication skills, with the ability to interact across all business areas.
  • Critical Thinking: Willing to question and challenge processes constructively.
  • Organized: Systematic and structured approach to work.

  • Compliance Analyst

    6 days ago

    London Area, United Kingdom AJ FOX COMPLIANCE Full time

    Our client is an international law firm seeking a Compliance Analyst to join their busy legal team in their London office. In this role, you will support the Compliance team in all their legal and regulatory duties. Key responsibilities include but are not limited to: Conduct CDD for a wide range of clients, including individuals, companies, and trusts;...

  • Compliance Analyst

    4 weeks ago

    London Area, United Kingdom AJ FOX COMPLIANCE Full time

    Our client is an international law firm seeking a Compliance Analyst to join their busy legal team in their London office. In this role, you will support the Compliance team in all their legal and regulatory duties.Key responsibilities include but are not limited to:Conduct CDD for a wide range of clients, including individuals, companies, and trusts;...

  • Compliance Analyst

    2 weeks ago

    London Area, United Kingdom AJ FOX COMPLIANCE Full time

    Our client is an international law firm seeking a Compliance Analyst to join their busy legal team in their London office. In this role, you will support the Compliance team in all their legal and regulatory duties.Key responsibilities include but are not limited to:Conduct CDD for a wide range of clients, including individuals, companies, and trusts;...

  • Senior Portfolio Compliance Analyst

    6 days ago

    London Area, United Kingdom Bruin Full time

    Our client is a leading UK based asset manager, covering a wide range of asset types and operating on an international scale. They are looking for a Senior Portfolio Compliance professional to join their team in London. The successful candidate will have the following. 3+ years in a Portfolio/Investment Compliance role Proven coding and monitoring experience...

  • Senior Portfolio Compliance Analyst

    1 week ago

    London Area, United Kingdom Bruin Full time

    Our client is a leading UK based asset manager, covering a wide range of asset types and operating on an international scale.They are looking for a Senior Portfolio Compliance professional to join their team in London.The successful candidate will have the following.3+ years in a Portfolio/Investment Compliance roleProven coding and monitoring...

  • Senior Portfolio Compliance Analyst

    6 days ago

    London Area, United Kingdom Bruin Full time

    Our client is a leading UK based asset manager, covering a wide range of asset types and operating on an international scale.They are looking for a Senior Portfolio Compliance professional to join their team in London.The successful candidate will have the following.3+ years in a Portfolio/Investment Compliance roleProven coding and monitoring...

  • Compliance and Risk Analyst

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job Title: Junior Risk and Compliance AnalystAbout the RoleWe are seeking a highly motivated and enthusiastic individual to join our team as a Junior Risk and Compliance Analyst at AJ FOX Compliance in London.Key ResponsibilitiesSupport fee earners and various business functions in anti-money laundering, sanctions, general conflicts, and risk and compliance...

  • Compliance Analyst

    1 day ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Job DescriptionOur client is an international law firm seeking a Compliance Analyst to join their busy legal team in their London office. In this role, you will support the Compliance team in all their legal and regulatory duties.Key responsibilities include but are not limited to:Conduct CDD for a wide range of clients, including individuals, companies, and...

  • Compliance Analyst

    6 days ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Our client is an international law firm seeking a Compliance Analyst to join their busy legal team in their London office. In this role, you will support the Compliance team in all their legal and regulatory duties. Key responsibilities include but are not limited to: Conduct CDD for a wide range of clients, including individuals, companies, and trusts;...

  • Compliance Analyst

    6 days ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Our client is an international law firm seeking a Compliance Analyst to join their busy legal team in their London office. In this role, you will support the Compliance team in all their legal and regulatory duties. Key responsibilities include but are not limited to: Conduct CDD for a wide range of clients, including individuals, companies, and trusts;...

  • Compliance Analyst

    4 weeks ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Our client is an international law firm seeking a Compliance Analyst to join their busy legal team in their London office. In this role, you will support the Compliance team in all their legal and regulatory duties.Key responsibilities include but are not limited to:Conduct CDD for a wide range of clients, including individuals, companies, and trusts;...

  • Compliance Analyst

    1 month ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Our client is an international law firm seeking a Compliance Analyst to join their busy legal team in their London office. In this role, you will support the Compliance team in all their legal and regulatory duties.Key responsibilities include but are not limited to:Conduct CDD for a wide range of clients, including individuals, companies, and trusts;...

  • Compliance Analyst

    4 weeks ago

    London Area, United Kingdom IDEX Consulting Ltd Full time

    IDEX Consulting are currently partnered with an Independent Broker in London who are looking for a Compliance Analyst / Senior Compliance Analyst.This role sits in a small Compliance team who are all Insurance specialists. You will be responsible for Compliance Monitoring, Compliance MI, TOBA's and Compliance reporting. The business are growing and are...

  • Portfolio Analyst

    6 months ago

    London, United Kingdom Peabody Full time

    **Peabody**has an exciting opportunity for a **Portfolio Analyst** on a** full time, permanent basis **based in **South East London**.** **In return, you will receive a competitive salary of **circa £46,400 per annum.** - Do you have experience advising and influencing senior business stakeholders?- Do you have experience in a budgetary role managing and...

  • Compliance Analyst

    4 weeks ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Job Description Our client is an international law firm seeking a Compliance Analyst to join their busy legal team in their London office. In this role, you will support the Compliance team in all their legal and regulatory duties. Key responsibilities include but are not limited to: Conduct CDD for a wide range of clients, including individuals,...

  • Compliance Analyst

    6 days ago

    London Area, United Kingdom IDEX Consulting Ltd Full time

    IDEX Consulting exclusively representing an Investment Manager who are looking for a Compliance Analyst to join their team. This is a small team of 4 Compliance Analysts all with a background in Investment Management Compliance. The team is merging with another team and they're looking at increasing their capabilities at Analyst / Senior Analyst level. This...

  • Compliance Analyst

    4 weeks ago

    London Area, United Kingdom IDEX Consulting Ltd Full time

    IDEX Consulting exclusively representing an Investment Manager who are looking for a Compliance Analyst to join their team.This is a small team of 4 Compliance Analysts all with a background in Investment Management Compliance. The team is merging with another team and they're looking at increasing their capabilities at Analyst / Senior Analyst level.This...

  • Compliance Analyst

    3 weeks ago

    London Area, United Kingdom IDEX Consulting Ltd Full time

    IDEX Consulting exclusively representing an Investment Manager who are looking for a Compliance Analyst to join their team.This is a small team of 4 Compliance Analysts all with a background in Investment Management Compliance. The team is merging with another team and they're looking at increasing their capabilities at Analyst / Senior Analyst level.This...

  • Senior Portfolio Compliance Analyst

    6 days ago

    London, United Kingdom Bruin Full time

    Our client is a leading UK based asset manager, covering a wide range of asset types and operating on an international scale. They are looking for a Senior Portfolio Compliance professional to join their team in London. The successful candidate will have the following. 3+ years in a Portfolio/Investment Compliance role Proven coding and monitoring...

  • Senior Portfolio Compliance Analyst

    6 days ago

    London, United Kingdom Bruin Full time

    Our client is a leading UK based asset manager, covering a wide range of asset types and operating on an international scale. They are looking for a Senior Portfolio Compliance professional to join their team in London. The successful candidate will have the following. 3+ years in a Portfolio/Investment Compliance role Proven coding and monitoring...