Senior Manager - Portfolio Compliance Monitoring

at  Morgan McKinley

Responsibilities below:

• Ensure that all applicable regulatory and/or IMA restrictions and guidelines, applicable to various managed portfolios, are accurately set-up in the Portfolio Compliance Monitoring system.
• Actively participate in the launch of new complex products and investment mandates by advising various colleagues within investment compliance, as well as other functions, on the suitability of investment restrictions and guidelines in view of internal compliance systems and risk assessment framework.
• Be the lead representative for the Portfolio Compliance Monitoring function on business initiatives and enhancements.
• Support and advise on conducting other compliance monitoring including aggregate ownership monitoring, rules advice, and other investment compliance related matters and handling queries from investment professionals and client service teams.
• Identify, track, document, resolve and report compliance breaches in-line with internal policy and regulatory requirements.
• Identify and escalate material issues, events, and proposed solutions to the Head of Portfolio Compliance.

Previous experience with Charles River is preferred.
For further information please don’t hesitate to contact me on my email:
Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.

Responsibilities below:

• Ensure that all applicable regulatory and/or IMA restrictions and guidelines, applicable to various managed portfolios, are accurately set-up in the Portfolio Compliance Monitoring system.
• Actively participate in the launch of new complex products and investment mandates by advising various colleagues within investment compliance, as well as other functions, on the suitability of investment restrictions and guidelines in view of internal compliance systems and risk assessment framework.
• Be the lead representative for the Portfolio Compliance Monitoring function on business initiatives and enhancements.
• Support and advise on conducting other compliance monitoring including aggregate ownership monitoring, rules advice, and other investment compliance related matters and handling queries from investment professionals and client service teams.
• Identify, track, document, resolve and report compliance breaches in-line with internal policy and regulatory requirements.
• Identify and escalate material issues, events, and proposed solutions to the Head of Portfolio Compliance