Guideline Monitoring Officer - Cardiff Based

£500 - £600 pd
21 Aug 2019

We are currently recruiting on behalf of an International Investment Manager for an Investment Guideline Monitoring Analyst.

The Portfolio Monitoring Team's objective is the implementation and monitoring of Pre and Post trade restrictions for all asset classes. The successful role holder will also focus on the set-up of the new compliance platform and Post-Trade rules.

Role Requirements

  • Identify and code Pre and Post Trade compliance restrictions in line with agreed Standards and Definitions.
  • Reviewing client contracts and contract amendments to identify all required restrictions
  • Working with Compliance teams and Regulatory experts to identify Regulatory restrictions
  • Working with Internal Management to identify additional Internal Management restrictions
  • For each identified set of restrictions, identifying the data sets required to support the coding
  • Working with the rest of the team to apply and enforce agreed Standards and Definitions
  • Coding the restrictions into the monitoring platform

Candidate Requirements:

  • Experience working in an Investment Manager in a pre/ post-trade monitoring capacity
  • Capable of working with a portfolio monitoring system such as Charles River, Thinkfolio, Sentinel, Aladdin or another bespoke platform.
  • Coding experience is essential for this role; candidates must have experience of coding new rules relating to reguatory/ client/ product restrictions.
  • Degree educated with additional qualifications also desirable.
  • Good interpersonal skills - including verbal and written communication skills.

Morgan McKinley is acting as an Employment Agency in relation to this vacancy.

Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.

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