Operations Control & Oversight

Los Angeles
Jun 25, 2019
Aug 24, 2019
Employment Type
Full Time

Job Description

Assist Manager and oversight team to monitor and oversee the investment operations process and trade lifecycle to ensure all processes are working and running optimally between trading and FPA’s middle office outsource provider.  FPA’s Investment Operations Department is responsible for order management, trade execution, data management, and key operational risk functions including the oversight of FPA’s middle office outsource provider, SEI Investments Company (“SEI”). FPA is searching for a candidate with proven knowledge of the lifecycle of a trade from the idea generation through to settlement and performance reporting as well as with hands on experience across multiple middle office functions - trade operations, collateral management, corporate actions processing, performance reporting, and/or end client reporting. The candidate will ideally also have experience managing service providers.


  • Help Manager develop, implement and manage firm’s middle office outsourcing oversight function including negotiating a service level agreement (“SLA”) and key performance indicators (“KPIs”) and holding the provider accountable to these
  • Help Manager develop and maintain risk framework and procedures to oversee key activity performed by provider to ensure any issues that arise are caught in a timely manner and that firm risk is properly managed
  • Analyze risk events reported by business units and provide reporting to Executive Management
  • Perform root cause analysis on operating events including those resulting in trade errors and recommend improvements to prevent these risk events from recurring in the future
  • Perform trend analysis on risk events
  • Establish a sound working relationship with all internal and external key stakeholders
  • Establish an on-going review process in order to continually improve and refine all aspects of the Operations function
  • Maintain up-to-date awareness of all relevant legislation and market best practices
  • Design, create, maintain and deliver, in an on-going timely fashion, an appropriate suite of management information reports
  • Additional tasks assigned by Manager, Operations Control & Oversight including project based work as needed


  • Minimum 5-7 years broad based Investment Operations experience spanning Portfolio Accounting, Performance, Trade Operations, Collateral Management, and Corporate Action Processing with strong background in Portfolio Accounting and Performance preferred.
  • Must possess and demonstrate a working knowledge of equity and fixed income investments and finance with the skills and ability to work in an entrepreneurial and team oriented environment.
  • OTC derivatives knowledge a plus
  • Excellent communication skills to enable clear articulation while working with internal and external clients
  • Experience working with the following vendors/systems a plus:
    • Bloomberg
    • Charles River Investment Management System (CRIMS)
  • Bachelor’s Degree in Finance, advanced degree preferred


Note: This position may be based in Los Angeles, CA or remotely based in Philadelphia/King of Prussia area.

FPA is an Equal Opportunity Employer

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