You will be leading the Mandate Monitoring team in covering both pre and post trade mandate monitoring and support the team by managing off shored and outsourced activities and undertake ad-hoc activities and projects to develop and enhance the mandate monitoring processes.
Key responsibilities include:
Maintain pre and post trade mandate monitoring restrictions using the 2 relevant monitoring systems: JPM TRAC and Blackrock's Aladdin systems. Tasks will include coding or instruction to third parties, review and testing for client take-on's, fund launches and IMA amendments.
Support the off shored 'Mandate Monitoring' team with daily exception monitoring on JPM TRAC and other manual monitoring activities.
Undertake automated and manual exception monitoring pre and post trade where required.
Identify and manage risks and ensure that adequate control processes exist and operate effectively.
Provide support to the Front Office on queries relating to pre and post trade rules and exceptions.
Maintenance of the stop and other restricted list on pre trade systems.
Maintain procedures documents for team tasks as required.
Build and maintain strong relationships with UK and overseas business units.
Assist with other Mandate Monitoring projects and initiatives including audit points and the BAU Actions and Issues Log.
To review and interpret new and amended IMA's / Prospectus' to determine if the rules can be automated.
Provide training and advice to other Mandate Monitoring team members on areas of expertise.
The successful candidate in London will have:
Extensive experience of mandate monitoring with an investment management organisation in relation to ensuring compliance to Investment & Borrowing Powers and client mandate restrictions. Experience to include rule coding and exception monitoring and resolution with investment managers desirable
Excellent organisational, time management and decision making.
Strong understanding of the investment management process across the full range of asset classes and client types.
Strong understanding of compliance monitoring processes including interpretation of discretionary client investment management agreements.
Detailed knowledge of UK, Irish and Luxembourg regulation with respect to retail funds.
Strong IT literacy as a business user. Experience in BRS Aladdin, JPM TRAC an advantage.
Good understanding of project management methodologies.
Excellent communication skills - verbal & written.
With a team of over 200 and growing every day, Goodman Masson is one of London’s specialist Finance and Technology recruitment businesses. Voted ‘Best Recruitment Company to Work For’ in 2018, our passion for what we do is clear.
Based in London, Düsseldorf and New York, we hold annual revenues exceeding £42 million. This includes Qualified & Part-Qualified / Transactional Finance, Actuarial & Investment Management, Audit, Banking Operations, Compliance & Financial Crime, Front Office, Housing Development, Information & Cyber Security, Technology, Digital & Data, Product Control & Valuations, Projects, Change & Transformation, Risk & Regulation, Tax and Treasury.
We also have a Solutions team who provide RPO, hybrid and volume recruitment services. Alongside this, Goodman Masson have developed an Executive Search team who focus on sourcing C-suite talent to fee earning Legal partners.