Guideline Management Senior Associate

2 weeks ago


London, United Kingdom Barings Full time

 

Primary Responsibilities

  • Must successfully monitor investment guidelines on a pre and post-trade basis in Aladdin and internal systems. Monitoring will cover products including, but not limited to: corporate fixed income, public equity, bank loans, private placements, mezzanine debt, real estate and structured products.
  • Escalate potential breaches of regulatory and client investment restrictions promptly and within any stipulated deadlines to Management, Portfolio Management, Client Services and other relevant stakeholders.
  • Provide guidance to business units on relevant investment compliance issues. Resolve and/or recommend to management solutions to investment guideline compliance related issues.
  • Assist with ad-hoc investment guideline coding amendments.
  • Assist with regulatory examinations and other internal audits as appropriate.
  • Participate in other department or corporate projects as requested.

Qualifications

  • Guideline management experience, Aladdin experience is essential.
  • Asset management experience [ideally in either Compliance or in a Middle Office Portfolio Management Assistant role].
  • Understanding of EU Regulation particularly UCITS & AIFMD in addition to US regulations, particularly 1940 Act; ERISA and US State Sector rules.
  • Effective, results orientated team player with strong interpersonal skills; possess very strong organizational and analytical skills; must be very detail oriented.
  • Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
  • Strong ability to comprehend highly technical regulatory requirements.
  • Strong Excel experience also a plus.
  • Good working knowledge of order generation and dealing process/risk control.
  • Reading Prospectuses and segregated mandates to identify relevant guidelines and applicable regulations.
  • Understanding of indices and derivative instruments; knowledge of how these can be used in portfolios.
  • Good communicator who has previous daily engagement with investment teams.


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