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Mandate Compliance Monitoring - Senior Analyst

Goodman Masson
London, United Kingdom
GBP85000 - GBP95000 per annum
Closing date
Mar 23, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
  • The Senior Analyst will be expected to support the Team Manager to ensure pre and post-trade incidents flagged by the Aladdin system and manual rules tests are reviewed and resolved in a robust and timely manner and to engage with the relevant investment team (either the fund manager or PMA) to obtain further information or explanation if required.
  • The Senior Analyst will be responsible for the resolution of complex incidents as well as providing oversight of incidents resolved by junior members of the team. In the event that a potential breach is identified, the Senior Analyst will be required to complete appropriate review and analysis, to determine whether 'active' or 'passive', to record the breach and to communicate the breach in accordance with the incident notification requirements.
  • The Senior Analyst will be expected to act as the alternate for the Mandate Monitoring Team Manager in meetings with the Business or the Auditors (for example) and in respect covering the oversight processes and controls. The Senior Analyst will be required to work with the Mandate Coding team to review and update constraints and rules as required, and where possible to automate manual processes.
  • The Senior Analyst will also be expected to work closely with data integrity and Blackrock Solutions (BRS) teams to ensure Aladdin system coverage and monitoring is complete and accurate. The Senior Analyst will be expected to develop good working relationships with FM's, PMA's, Client Services, IT, BRS and Data Management Teams and act as the GO TO point of contact to ensure Mandate Compliance Team performs its obligations fully and professionally.
  • The Senior Analyst will be expected to take a lead role in responding to queries from clients and engagement with Depositaries. In addition to the above, the Senior Analyst will be expected to support the Team Manager in respect of improving monitoring controls, processes and procedures outside of Aladdin and to assist with the ad hoc projects as directed.

Skills desired:
  • Strong record of experience of mandate monitoring processes and incident analysis using industry standard platforms Sentinel, Charles River, Thinkfolio or Aladdin.
  • Robust knowledge and experience of the Asset Management industry
  • Strong product and instrument knowledge including demonstrable knowledge of cash traded instruments across equity, debt, currency and commodity asset classes.
  • Good understanding of IMA documents/ Prospectuses and legal structures employed across different types of investment mandates.
  • Good understanding of UCITS Regulatory Rules pertaining to UK OEIC's, Luxembourg SICAV's, German KAG, other European UCITS and AIFMD
  • Good communication and analysis skills to deal with internal clients such as Fund Managers, Client Managers, IT and Data Management specialists.
  • Ability to prioritise workload
  • Ability to follow procedures and act upon instructions

If you also had this, it would be great....
  • A good understanding of ETD and OTC derivative instruments applicable to mandate monitoring responsibilities, especially with respect to UCITS rules in pertaining to Leverage, Commitment and VaR.
  • Some knowledge of German/ Austrian KAGGs and US mutual funds.
  • IMC or other equivalent industry qualification.

If interested, please apply below.

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.

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