Investment Compliance (Portfolio Guidelines)

Overview

• Contribute to a dynamic Portfolio Risk team ensuring compliance with investment mandates and regulatory guidelines.
• Collaborate with portfolio managers, traders, and legal teams to address investment restriction requirements.
• Analyze real-time risk alerts and resolve exceptions in alignment with investment strategies.
• Develop and implement robust pre-trade risk frameworks and monitoring systems.
• Investigate investment breaches and maintain accurate documentation logs.
• Specify system enhancements and reporting analytics to support strategy requirements.
• Work in a hybrid environment combining on-site and remote collaboration.

Key Responsibilities & Duties

• Analyze real-time compliance alerts and collaborate with traders to resolve issues.
• Implement and monitor regulatory and contractual investment restrictions across portfolios.
• Review and finalize investment restrictions for new mandates.
• Develop reporting analytics and specify system enhancements for risk monitoring.
• Investigate breaches of investment guidelines and maintain breach logs.
• Collaborate with legal and structuring teams to amend prospectus documents.
• Work closely with technology teams to ensure robust implementation of limits.

Job Requirements

• Bachelor’s degree in a field with analytical components; Master’s preferred.
• 3-5 years of experience in investment compliance or portfolio risk management.
• Proficiency in investment strategies involving derivatives and short positions.
• Experience with UCITS, 3(c)7 funds, and US mutual fund compliance.
• Moderate programming skills in Excel/VBA, SQL, and Python.
• Ability to work effectively in a trading desk environment.
• Strong analytical and research skills with attention to detail.