Key stakeholder in client onboarding and amendment processes. Reviewing draft IMA documentation to identify guidelines that require coding; equally identifying those that cannot be coded for discussion with relevant business areas.
Code, assign, test and approve guidelines in the monitoring system (BlackRock's Aladdin) with accuracy.
Daily pre and post trade compliance monitoring across regulated and segregated portfolios.
Managing compliance breaches efficiently to closure, ensuring accurate maintenance of records to support submissions and queries raised by internal and external stakeholders (Clients, Depositories, Auditors). Maintaining a good relationship with Front Office and the wider business.
Consulting with front office on appropriate investment compliance and operational considerations impacting asset allocation, concentration and risk management.
Collaborating with Fund Managers, Dealers, Legal Team, Client RMs and the wider Risk and Compliance function to successfully manage identified risks, breaches and enhance mitigating controls.
Working closely with the Regulatory Reporting team also situated within Regulatory Operations. Assisting with regulatory notifications where possible.
Keeping abreast of regulatory developments and assessing any impact on the Risk and Compliance team and wider Jupiter business.
Assisting the wider Risk and Compliance team where appropriate.
Desired Skills / Experience
Previous experience in Asset Management.
Working knowledge of all the asset classes.
Experience within guideline monitoring/coding or compliance.
Working knowledge of UCITS, NURS, AIF, ITs, & UTs highly desirable.
Aladdin experience desired.
Measurable attention to detail/accuracy.
Solid verbal and written communication skills.
Ability to articulate complex matters into simple terms.
Logical and critical thinker who can challenge the status quo.
Emotionally intelligent with a want to build strong internal networks.
Ability to influence people and negotiate with stakeholders.
Ability to confidently engage with all levels/senior management.
Creative and solution driven.
Proactive and assiduous.
Team player who is self-sufficient and does not need micro managing.
Highly organised and able to multi-task
Ability to work under pressure with tight deadlines.
Enthusiastic and positive approach, taking pride in output.
Additional Role Details
This role is subject to the Conduct Rules set by the FCA.