Investment Compliance Analyst

Page Personnel Finance
Cardiff County
£25,000 - £29,999
13 Sep 2019
17 Sep 2019
Contract Type
Full Time
Do you have experience with invesment processes from start to finish?

Are you looking for a challenging Compliance/Investment role for a FSTE organisation?

If so, please apply with your CV below:

Client Details

The client:

- Well established brand based in Cardiff

- FTSE Financial Services

- Well known for employee engagement and development

- Private healthcare, bonus, succession plans, life assurance and discount FS products


The role:

Compliance Analysts to identify and code Pre- and Post-Trade compliance restrictions in line with centrally agreed Standards and Definitions. This will consist of the following activities:

- Reviewing client contracts and contract amendments to identify all required restrictions

- Working with Compliance teams and Regulatory experts to identify Regulatory restrictions

- Working with Internal Management to identify additional Internal Management restrictions

- For each identified set of restrictions, identifying the data sets required to support the coding

- Working with the rest of the team to apply and enforce agreed Standards and Definitions

- Liaising with Fund Managers, Product Managers, Client Relationship Managers and locally based team members to ensure correct interpretation and agreement to the proposed restrictions prior to coding

- Coding the restrictions into the Charles River platform

- Ensure rule is accurate and fit for purpose by carrying out positive and negative scenario testing

Key Accountabilities:

Coding Responsibilities:
  • Ensuring that all new rules coded into Charles River relating to Regulatory/ Client/Product restrictions are tested adequately both for accuracy of coding and interpretation
  • Ensuring that the interpretation of all Regulatory/Client/Product restrictions are captured in Portfolio Monitoring systems accurately and in a timely fashion
  • On-going maintenance and improvement of the Portfolio Monitoring processes with a focus on standardisation and automation


Question and challenge contradictory or ambiguous restrictions and amendments with Compliance/Product/Client Relationship Managers as required

Team Integration:

Forming and maintaining effective working relationships with Portfolio Monitoring team members and other Risk analysts

Maintaining an open and effective dialogue with Fund Managers and Client Relationship Managers, in relation to restriction interpretation

Forming a view as to the appropriateness of the data being captured and the quality of the coding methodologies being employed

Exposure to all asset classes, developing a detailed understanding of workflow and investment process

Client Service:

Capture the review and interpretation of Regulatory/Client/Product restrictions into Portfolio Monitoring systems

Sign-off processes and procedures followed

Ensure that meetings are scheduled and new fund implementations and amendments are completed in line with SLA’s

Development of working relationship with key stakeholders


Analyst Profile

Background would include an understanding of the Investment Management industry, products and investment structures, with an understanding of the Legal documentation supporting investment portfolios and their Investment Guidelines along with experience in Guideline Compliance Coding. You will have an eye for detail in order to identify constraints embedded within contracts and have the market experience to understand the different asset classes and associated key analytics.

Detailed data knowledge is not required, but the holder of this role will need to identify the data sets required by applying logical analysis and problem solving skills.

You will be self-motivated and able to work as part of a larger team, both contributing to the model design and then being prepared to stick to the agreed model principles. You will be required to work with stakeholders remotely via telephone, email and video-conferencing.

Skills Required

Professional Requirements

Educated to degree level

Charles River Advanced Coding or equivalent

Investment operations qualifications (IAO/IAQ) or Investment Management Certificate

Intermediate to advance Excel knowledge (VBA would be useful)

Personal Characteristics

Good interpersonal skills - including verbal and written communication skills

Determined, self-motivated and resourceful to achieve objectives

Ability to absorb, interpret and apply information effectively

Logical thinking

Problem solving ability

Job Offer

Please apply with your CV if interested. Cardiff.