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For Companies At a Glance
- Tasks: Join a dynamic team to ensure compliance with investment guidelines and improve monitoring processes.
- Company: A leading investment firm focused on innovative solutions and client success.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth and development.
- Why this job: Be part of a new role that impacts the firm's efficiency and compliance culture.
- Qualifications: 2+ years in compliance, coding experience preferred, and strong analytical skills required.
- Other info: Familiarity with Charles River and regulatory frameworks is a plus.
The predicted salary is between 43200 - 72000 £ per year.
A leading investment firm is seeking a Senior Compliance Analyst to join their growing team in a brand new role. Previous investment guideline coding experience is preferred yet not essential.
Key Responsibilities & Duties:
- Collaborate and consult with internal stakeholders including Investment, Trading, Legal, Operations, ESG, Data and Client Services teams to ensure terms of the contracts and agreements can be accurately monitored within Charles River, and establish new processes as needed.
- Contribute to the review of legal documents and subsequent coding of logic-based investment guideline rules into Charles River for automated testing.
- Anticipate and provide solutions to complicated problems and be capable of presenting them in a clear and compelling manner.
- Work to improve the daily guideline oversight monitoring process within CRD to reduce manual testing and increase efficiency.
- Ensure timely and accurate completion of assigned and delegated workloads.
The role requires:
- At least 2 years’ experience in guideline management compliance, with a specific focus on fund management and dealing functions.Charles River experience is preferred. Practical knowledge of coding investment restrictions within an order management system, such as Charles River, Aladdin, Enfusion, Bloomberg AIM, or ThinkFolio.
- An understanding of the key regulatory frameworks and rule areas affecting the business, including, but not limited to, regulations under UCITS, AIFMD, and the 40 Act rules.
- Familiarity with Microsoft SQL and Excel would be beneficial.
- The IMC or IAQ qualification is desirable although not essential.
- Strong analytical skills, attention to detail and ability to exercise balanced judgment and decision making.
- Solid understanding of equity and fixed income securities and derivatives products required.
- High energy, positive demeanor, enthusiastic, professional, with a strong work ethic.
- Pro-active and self-sufficient with ability to escalate where appropriate.
- Strong interpersonal and customer service skills
- Solid knowledge of fund management processes, instruments, products and funds.
- Understanding of current and proposed regulatory requirements impacting the Funds Management industry a plus.
- Good planning, prioritization, problem solving, and organizational skills are essential.
- Ability to work effectively under pressure and meet tight deadlines.
Senior Compliance Analyst – Investment Guideline Coding & Monitoring employer: Ramsey Portia
Contact Detail:
Ramsey Portia Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Analyst – Investment Guideline Coding & Monitoring
✨Tip Number 1
Familiarize yourself with Charles River and other order management systems like Aladdin or Bloomberg AIM. Understanding how these platforms work will give you a significant edge during the interview process.
✨Tip Number 2
Brush up on your knowledge of regulatory frameworks such as UCITS and AIFMD. Being able to discuss these regulations confidently will demonstrate your expertise and commitment to compliance.
✨Tip Number 3
Showcase your analytical skills by preparing examples of how you've solved complex problems in previous roles. Be ready to present these scenarios clearly and compellingly during your discussions with us.
✨Tip Number 4
Network with professionals in the investment compliance field. Engaging with others in the industry can provide valuable insights and potentially lead to referrals that could help you land the job.
We think you need these skills to ace Senior Compliance Analyst – Investment Guideline Coding & Monitoring
Some tips for your application 🫡
Understand the Role: Take the time to thoroughly read the job description and understand the key responsibilities and requirements. Highlight your relevant experience in guideline management compliance and any familiarity with Charles River or similar systems.
Tailor Your CV: Customize your CV to reflect your experience in investment guideline coding and compliance. Emphasize your analytical skills, attention to detail, and any relevant qualifications like IMC or IAQ that align with the job requirements.
Craft a Compelling Cover Letter: Write a cover letter that showcases your enthusiasm for the role and the company. Discuss how your background in fund management and understanding of regulatory frameworks make you a strong candidate for this position.
Highlight Problem-Solving Skills: In your application, provide examples of how you've anticipated and solved complex problems in previous roles. This will demonstrate your ability to present solutions clearly and effectively, which is crucial for this position.
How to prepare for a job interview at Ramsey Portia
✨Showcase Your Coding Experience
Even if you don't have direct experience with investment guideline coding, highlight any relevant experience with order management systems like Charles River or similar platforms. Be prepared to discuss how your skills can transfer to this role.
✨Understand Regulatory Frameworks
Familiarize yourself with key regulatory frameworks such as UCITS, AIFMD, and the 40 Act rules. Demonstrating your understanding of these regulations will show that you are well-prepared for the compliance aspects of the role.
✨Prepare for Problem-Solving Scenarios
Anticipate questions that assess your problem-solving abilities. Think of examples where you've successfully navigated complex issues in compliance or investment management, and be ready to present them clearly.
✨Highlight Your Interpersonal Skills
Since collaboration with various internal stakeholders is crucial, emphasize your strong interpersonal and customer service skills. Share examples of how you've effectively communicated and worked with different teams in past roles.
