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Investment Compliance Analyst

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London, Greater London, United Kingdom Capital Group Full time

Role Overview: The Investment Compliance Analyst is tasked with monitoring client portfolios and ensuring adherence to compliance standards while supporting account operations. This role involves direct collaboration with the Investment Group and requires interaction with Trading and various Global Investment Control (GIC) teams. The analyst will work autonomously on most tasks while partnering with senior colleagues on more intricate projects and analyses.

Key Responsibilities:

  • Manage the Capital System and oversee Portfolio Strategy Management (PSM).
  • Ensure that client portfolios are structured in alignment with investment convictions and comply with established regulations promptly.
  • Assist the Principal Investment Officer (PIO) and PSM in managing cash flows, overseeing complex strategies, and facilitating decision-making processes.
  • Support the daily operations of portfolio strategies, ensuring the accuracy of pre-optimization data inputs.
  • Lead investigations into data inconsistencies and communicate potential solutions and their implications to relevant stakeholders.
  • Comprehend the effects of reference fund activities on operational vehicles and aid in determining appropriate subsequent actions.
  • Identify operational gaps, implement necessary controls, and enhance efficiency.
  • Engage in the planning and execution of both standard and complex client initiatives, including fund launches, closures, strategy modifications, and vehicle conversions.
  • Utilize emerging technologies and collaborate with technology teams to foster business growth and scalability.

Required Skills and Qualifications:

  • A self-motivated individual with a keen understanding of operational processes and their interconnections with technology.
  • Knowledgeable in PIC functions, securities, and the investment sector.
  • Active participation in projects and team initiatives is expected.
  • Collaborate effectively with project leaders and provide updates to management.
  • Demonstrate strong organizational skills and a proactive approach to workflow management.
  • Excellent written and verbal communication skills to interact effectively with the Investment Group and other GIC teams.
  • An interest in leveraging technology for process improvement, with familiarity in applications such as Alteryx, SQL, PowerBI, and coding languages being advantageous.