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Investment Compliance Manager

Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/JOES/32265
Contact Joe Smith
Date posted 29-07-2019

BRUIN financial is currently working with a Global Investment Management firm to find an Investment Compliance Manager that will assist the Investment Compliance team in overseeing both pre and post trade Investment Compliance.
Key responsibilities of this role include:
• Maintain pre and post trade Investment Compliance restrictions using the two monitoring systems
• Undertake automated and manual exception monitoring pre and post trade where required.
• Identify and manage risks and ensure that adequate control processes exist and operate effectively.
• Assist with other Investment Compliance projects and initiatives including audit points and the BAU Actions and Issues Log.
• To review and interpret new and amended IMA’s / Prospectus’ to determine if the rules can be automated.
The successful candidate will likely have:
• Extensive experience of mandate monitoring with an investment management organization in relation to ensuring compliance to Investment & Borrowing Powers and client investment restrictions.
• Experience to include rule coding and exception monitoring and resolution with investment managers.
• Strong understanding of the investment management process across the full range of asset classes and client types.

• Strong understanding of compliance monitoring processes including interpretation of discretionary client investment management agreements.

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Contact Joe about this job

AVP, Consultant