Portfolio Compliance Manager
1 month ago
My client, a leading City based Asset Manager is looking for an experienced **Portfolio Compliance Manager** to join their team.
This is a permanent role and you will be working from my client's London office on a **hybrid** basis (once or twice per week).
You will be working with compliance teams in the UK and abroad and will be expected to be hands on the CRD rules coding space.
**Responsibilities**
- Ensure that all applicable regulatory and/or IMA restrictions and guidelines, applicable to various managed portfolios, are accurately set-up in the Portfolio Compliance Monitoring system.
- Actively participate in the launch of new complex products and investment mandates by advising various colleagues within investment compliance, as well as other functions, on the suitability of investment restrictions and guidelines in view of internal compliancesystems and risk assessment framework.
- Be the lead representative for the Portfolio Compliance Monitoring function on business initiatives and enhancements.
- Support and advise on conducting other compliance monitoring including aggregate ownership monitoring, rules advice, and other investment compliance related matters and handling queries from investment professionals and client service teams.
- Identify, track, document, resolve and report compliance breaches in-line with internal policy and regulatory requirements.
- Identify and escalate material issues, events, and proposed solutions to the Head of Portfolio Compliance.
- Develop and maintain effective working relationships with other functional areas for timely receipt of information required for the completion of tasks.
- Mentor and guide more junior team members, both permanent staff and contractors, with rule coding and monitoring of alerts in Charles River and other related areas.
**Skills**
- Strong knowledge and experience in portfolio compliance monitoring and rule coding using Charles River (or similar) systems
- Expertise in Charles River rule coding is preferred, so that you can conduct reviews and approvals the rule coding done by team members
- Experience in working in the investment management industry (preferably buy side) and of investment products.
- Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements
- Strong instrument knowledge of equities, fixed income and derivatives
- Strong working knowledge of regulatory requirements applicable to asset managers and funds domiciled and traded in your primary fund coverage area
- Experience preparing concise management reporting materials based on key compliance data and metrics
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