Investment Guidelines Specialist

4 days ago

London, Greater London, United Kingdom Austin Andrew Ltd Full time

About the Role

Austin Andrew Ltd is seeking a highly skilled Investment Guidelines Specialist to join our team. As a key member of our front office operations, you will be responsible for managing all front office system-related alerts and rules, as well as other critical activities.

Key Responsibilities

  • Front Office System Oversight and Management
  • Wall Crossings and Front Office System List Updates
  • Pre- and Post-Trade Alert Analysis
  • Regulatory Disclosures
  • Front Office System Rule Coding for New Accounts and/or New Investment Guidelines
  • Change in Control Process

Regulatory Responsibilities

  • Compliance with those aspects of the FCA's Senior Managers and Certification Regime which apply to you - including adherence to the Conduct Rule
  • Take proactive steps to keep up to date with regulatory updates to ensure a detailed understanding of compliance pertinent to your work
  • Be open and transparent in the way you deal with our clients
  • Ensure that wherever possible the interests of our clients are put first

Risk Management

  • Be aware of the risks to the firm, and to its clients, of your actions and responsibilities
  • Ensure that as these risks change, or new risks arise, these changes are clearly communicated throughout the firm as appropriate
  • Manage these risks appropriately including involving your line management and the Chief Risk Officer as necessary

Requirements

  • Number of years in asset management or other comparable financial services roles
  • Technical and practical expertise in front office systems
  • Knowledge of ALADDIN highly beneficial

Working Arrangements

Candidates will be expected to be in the office for three days per week.

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