IFO-Infrastructure Professional

• Guideline Monitoring - Generating and reviewing compliance exception reports using systems such as Thinkfolio and Apollo. Investigation and reolution of potential guideline breaches and exceptions.
• Maintaining the database of investment restrictions, reviewing new client investment restrictions and coding to the compliance systems.
• Personal Trading Review (Code of Ethics) - Daily personal trading monitoring using third party application to identify violations of the firm s policies and procedures. Provide UK Compliance Officer with findings on a daily basis
• Reviewing other daily risk and compliance data including follow up investigation as necessary.
• Carrying out a variety of other periodic tasks within the compliance monitoring programme.
• Assist with the ongoing development of the compliance monitoring programme and compliance systems within NAM UK.
• Assist with ad hoc regulatory and business projects as necessary.
• Identify and report on current and potential issues and problems, and make suggestions for improvements to own work area or processes.

Key Skills:

• Candidates should have experience within an institutional asset management environment.
• Compliance monitoring experience is preferred with use of systems such as Thinkfolio, Latent Zero, Charles River, Apollo including the ability to programme and edit investment restrictions.
• The selected candidate will be able to demonstrate a disciplined approach to their work, attention to detail and a willingness to investigate day to day issues arising.
• Be approachable in the department and flexible in exposure to a variety of duties
• Ability to plan and prioritize workload and work to deadlines
• Good Communication skills
• High level of accuracy and attention to detail
• Knowledge of Indian stock markets and mutual funds would be helpful