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Fixed Income Portfolio Compliance

Finance Network
London, United Kingdom
£60k - £70k
Closing date
Feb 23, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
As a Fixed Income Portfolio Compliance Analyst, you will demonstrate a working knowledge of Portfolio Compliance processes and analyse pre-trade, post-trade and batch compliance exceptions, and you will assist with the facilitation of investment process. You will directly engage the Investment Group and work with Trading, and other Investment Control teams or business groups to resolve outstanding issues

You will complete client reporting, rule signoff and works on departmental projects and process initiatives.


Performs pre and post-trade compliance checks, in a timely manner

Performs batch compliance review of portfolio including previous day's fixed income trading activities and market value movements

Resolves compliance inquiries from Investment Group, Trading, Legal, Accounting, clients and other business units

Strengthens relationships with the Investment Group and Trading by anticipating needs and offering solutions

Completes and reviews daily, monthly and quarterly compliance reports.

Reviews and validates rules entered into compliance monitoring system by Fund Administration teams.

Essential Skills

A desire to understand how and why things work, the financial industry and/or the connections between processes and technology

Working knowledge of Fixed Income Portfolio Compliance functions, and interconnections with other investment control teams' policies, procedures and systems and ability to apply them to work assignments

Working knowledge of the securities and investment business and investment process and ability to apply to work assignments

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