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- Tasks: Manage investment restrictions and compliance coding in our order management system.
- Company: Join a leading asset management firm focused on compliance and client satisfaction.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth and development.
- Why this job: Be part of a crucial team ensuring compliance and making a real impact in asset management.
- Qualifications: Experience in guideline monitoring, knowledge of Charles River, and understanding of UCITs regulations required.
- Other info: Applications may not receive feedback within 28 days due to high volume; similar opportunities may arise.
The predicted salary is between 43200 - 72000 £ per year.
You’ll be responsible for: Investment restriction coding and controls in the order management system (Charles River) Managing the daily breach process, liaising with the Compliance and Distribution Client Services as required Maintaining a 3 year rolling audit programme to ensure coding and manual controls are kept in line with client, regulatory and fund manager expectations Managing the implementation of client specific restricted stock lists Maintaining the coding around eligible countries, markets, IDs and asset classes for clients; Producing relevant MI for governing Committees as required Experience/Skills/Qualifications: Relevant guideline monitoring or coding experience gained in an asset management environment Working knowledge of Charles River Solid understanding of compliance mandate restriction coding Working knowledge of UCITs regulation and both UK and Luxembourg structures Systematic and organised Strong relationship-building skills with the ability to engage proactively with portfolio managers and colleagues at all levels Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
Mandate Compliance - Senior Analyst employer: MERJE Ltd
Contact Detail:
MERJE Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Mandate Compliance - Senior Analyst
✨Tip Number 1
Make sure to familiarize yourself with Charles River, as it's a key part of the role. Consider taking online courses or tutorials to enhance your understanding and demonstrate your initiative.
✨Tip Number 2
Highlight your experience in compliance mandate restriction coding. Be ready to discuss specific examples from your past roles that showcase your ability to manage investment restrictions effectively.
✨Tip Number 3
Build your knowledge of UCITS regulations and the UK and Luxembourg structures. This will not only help you in the interview but also show that you're serious about the compliance aspect of the role.
✨Tip Number 4
Prepare to discuss how you've built relationships with portfolio managers and colleagues in previous positions. Strong relationship-building skills are crucial for this role, so have some examples ready.
We think you need these skills to ace Mandate Compliance - Senior Analyst
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the Mandate Compliance - Senior Analyst position. Understand the key responsibilities and required skills, especially focusing on investment restriction coding and compliance regulations.
Highlight Relevant Experience: In your CV and cover letter, emphasize your relevant guideline monitoring or coding experience in an asset management environment. Be specific about your familiarity with Charles River and compliance mandate restriction coding.
Showcase Your Skills: Demonstrate your systematic and organized approach in your application. Provide examples of how you've built strong relationships with colleagues and portfolio managers, as this is crucial for the role.
Tailor Your Application: Customize your application materials to reflect the specific requirements mentioned in the job description, such as knowledge of UCITS regulation and the ability to manage client-specific restricted stock lists.
How to prepare for a job interview at MERJE Ltd
✨Showcase Your Technical Skills
Make sure to highlight your experience with investment restriction coding and your familiarity with Charles River. Be prepared to discuss specific examples of how you've managed compliance mandates in previous roles.
✨Demonstrate Your Understanding of Regulations
Familiarize yourself with UCITS regulations and the differences between UK and Luxembourg structures. During the interview, be ready to explain how these regulations impact compliance processes and how you've navigated them in the past.
✨Emphasize Relationship-Building Abilities
Since the role requires strong relationship-building skills, think of instances where you've successfully engaged with portfolio managers or colleagues. Share stories that illustrate your proactive communication style and ability to collaborate effectively.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities in real-world scenarios. Prepare to discuss how you would handle breaches in compliance or manage the implementation of client-specific restricted stock lists, showcasing your systematic and organized approach.
