Portfolio Compliance Guidelines Analyst

The Value of Active Minds

About Jupiter

Jupiter is one of the UK's leading investment management companies with just over 500 employees and £51.4 billion worth of assets under management (as at 30th June 2023).

Jupiter provides investment services to individual and institutional investors through mutual funds (UK unit trusts, Luxembourg SICAVs and Dublin OEICs), separately managed accounts and sub-advised funds. Jupiter has experienced a period of international growth with offices open in EMEA, APAC and the US.

The majority of our employees are based in our London office located just minutes from Victoria station which provides stair-free access from both the Underground's Victoria line and National Rail platforms, as well as limited road crossings to the Jupiter office. Our London office was designed to encourage employees to live active, healthy lives with floor-to-ceiling windows that allow for greater natural light and the benefit of a private balcony, table tennis room, cycle storage and on-site shower and locker facilities. The short distance to Green Park and St James' Park also provides employees with a natural space to relax during their lunch break and a healthy alternative to office-based meetings.

We offer our UK employees a 3:2 hybrid working arrangement where Tuesdays, Thursdays and a third day of your choice are worked from the office. The other two days may be worked from home. This facilitates collaboration and allows employees to maximise productivity whilst maintaining a healthy work/life balance.

Background

The role is within the Regulatory Operations team reporting to The Head of Regulatory Operations.

You will be joining a team of five who are shaping the foundation of Jupiter's Portfolio Compliance and Regulatory Reporting. The team acts as part of the second line of defence for the business, ensuring Funds are managed as prescribed in their Prospectus or IMA documents and in adherence with the relevant Directives.

This role will suit a motivated individual who is looking to become a trusted SME within the team, providing guidance on Investment Compliance to various business parties and the wider Compliance function.

Key Responsibilities

• Key stakeholder in client onboarding and mandate 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 and agreement on additional controls.
• 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.
• Aladdin experience desired.
• Working knowledge of UCITS, NURS, AIF, ITs, & UTs essential.
• Working knowledge of all the asset classes.
• Experience with investment guideline monitoring/coding.
• Experience with the compliance aspects of fund onboarding is highly desirable.
• 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.

Don't meet every requirement? At Jupiter we are dedicated to building a diverse and inclusive workplace, so if you are interested in this role, but don't think your experience aligns perfectly with every listed requirement in the job description, we would encourage you to apply. You may be the right person for this role.