Investment Compliance Analyst

Sterling Williams are currently supporting the hiring of an Investment Compliance Analyst on behalf of a Fund Services and Solutions business on a permanent basis - this would suit candidates with a background in Investment or Fund Operations looking to move into Compliance or Risk, or someone with 12 months in Compliance already.

Investment Compliance / Risk Analyst

Salary circa £30,000 - £34,000 pa plus benefits

Full-time; permanent

Office location: Peterborough, but hybrid working is on offer (tapering down over the first few months to 2 consecutive days a month in the office)

Working within the Compliance team, the Investment Compliance and Risk Analyst will support the wider team who are responsible for the day-to-day oversight of all Funds for Authorised Corporate Director (ACD) and Administration services, from monitoring investment risk to meeting mandatory regulatory reporting standards.

• Manage, action, and assign emails received to the Compliance Team group inbox daily. Highlight and escalating to members of the team where required.
• Assist with the timely resolution of errors and complaints including escalation of significant matters and ensuring appropriate record keeping.
• Ensure that all errorsmplaints are recorded on the registers held and appropriate documentation is produced and retained to facilitate Compliance and Depositary reporting.
• Liaise with delegated Investment Managers and all in-house Operational teams over any errors arising, in order to record and reduce the number of the recurrence of breaches.
• Prepare monthly KPI data for error trends including commentary and analysis, participate within the Operational Risk governance committee as required.
• Assist with investment risk compliance oversight, including through the Funds-Axis platform data monitoring and reporting of investment and borrowing powers, liquidity, global exposure monthly reporting to the Investment Committee and thereafter quarterly risk returns submissions to the Depositary.
• Involvement to ensure the correct application of fair value pricing and independent pricing of assets where relevant.
• Maintenance of Eligible Markets and Assets listing to facilitate periodic reviews, including Fund propositions/launches and transitions to ensure investment in eligible markets, due diligence has been performed. Working cooperatively with the Depositary and Investment Manager firms.
• Assist with regulatory reporting and oversight, including for example the Alternative Investment Fund Managers Directive (AIFMD) returns and the European Market Infrastructure Regulations (EMIR) reconciliation confirmations.
• Assist in the review of the Fund's portfolio spreads on a quarterly basis in regard to those same dilution levy limits.
• Involvement with the implementation and regular review cycle and update of compliance and operating policies and procedures both inclusive of version control management
• Undertake regular reviews: an Investment Manager's report commentaries for Fund report and accounts inclusion.
• Regular review of Financial promotional marketing materials for the Fund(s).
• Completion of external party due diligence questionnaire reviews, i.e., Depositary, third parties as required.
• Maintain technical and regulatory capability keeping aware of market and industry developments. Providing ad-hoc support when required across the business to achieve Company objectives and goals.
• Involvement in the reporting of information internally and externally, including to the boards, committees and the Depositary.
• Participate in reviews of SLAs' and report any gaps and or discrepancies in service delivery to reporting line.
• Attend internal and external meetings as and when required.

Technical Skills and Qualifications Required

• Education to A level or equivalent in English and Maths. Those without school qualifications must be able to demonstrate aptitude at an equivalent level.
• General understanding of investments within the Financial Service industry - with experience in investment or fund operations, or compliance & risk within the Financial Services (12 months plus)
• Industry qualifications e.g., IOC, CISI, IMC an advantage but not essential to the role.
• Good analytical skills, attention to detail, meticulous and accurate with high level of numeracy.
• Confident skills in the full range of Microsoft office, excellent skills within excel desirable.
• Ability to analyse data sets, identify and explain results and trends, with supportive clear and accurate report commentaries, make the complex simple.
• Committed team player with a strong sense of ownership, responsibility, and a flexible approach.
• Enthusiastic, highly motivated be able to work on own initiative and as part of a team.
• Personal Development - Manages personal and professional development, seeks opportunities for further development and skill enhancement and solicits constructive feedback in order to improve performance.
• A willingness to develop and learn.
• Good communication skills, both verbal and written, ability to liaise with all stakeholders and strong interpersonal skills to build trusting relationships.