Mandate Compliance Analyst

Overview

An London-based fund manager is seeking to appoint a Mandate Compliance Analyst.

This role will be responsible for the coding, monitoring and breach management of all applicable client, regulatory and internal investment restrictions across Artemis-managed portfolios. This role will also provide cover within the wider Portfolio Services team.

Key Responsibilities

• Responsible for all investment restriction coding and controls in the order management system (OMS);
• Manage the daily breach process, including investigation, documentation, escalation and resolution of
• potential and confirmed breaches, liaising with compliance, client services and the investment team as
• required;
• Maintain a three-year rolling audit programme to ensure coding and manual controls are kept in line with client, regulatory and fund manager expectations;
• Implement any changes to CRD coding or manual controls when required;
• Maintain the coding and associated audit trail for the internal stop list;
• Manage the implementation of client-specific restricted stock lists;
• Maintain the coding relating to eligible countries, markets and asset classes for clients;
• Produce relevant MI for governing committees as required;
• Provide cover within the wider Portfolio Services team;
• Maintain sufficient cross-training within Portfolio Services to support effective operational resilience.

Skills, Knowledge & Experience

• Working knowledge of industry-recognised OMS;
• Working understanding of investment restriction coding;
• Proven experience in a similar role in investment management including within Investment Operations or Compliance;
• Working knowledge of the regulatory framework applicable to UK and Luxembourg regulated funds,
• including UCITS;
• Ability to work on own initiative and without constant direct supervision, with a proactive approach;
• Ability to prioritise, work well under pressure in a busy environment and meet deadlines;
• Ability to communicate clearly and interface with all relevant business areas;
• Demonstrates a strong commitment to teamwork, contributing consistently to shared responsibilities and team objectives;
• Willingness to challenge and question;
• Systematic and organised;
• Energetic, enthusiastic and positive.

Additional Information & Company Benefits

• Compensation: Competitive, based on experience
• Equity: Competitive
• 25 days’ holiday per year, in addition to bank holidays
• Private medical insurance
• Life insurance
• Flexible working: A balance of home and office working