Associate II

About the Role

This role is to hire a Business Process Operations Analyst responsible for Investment Restriction Compliance Management.

Key Responsibilities

• Work within a team responsible for Investment Restriction Compliance Management: violation oversight, onboarding, and query resolution.
• Deliver and oversee the daily review of overnight violation monitoring; escalate and follow through issues appropriately.
• Work with Investment desks, Product, and Client Executives across all asset classes on investment guidelines related matters and issues, providing advice and assisting with pre-trade violation overrides.
• Help maintain broker and ready to trade coding in Aladdin and assist Trading Desks with initial queries and escalations.
• Deliver mandate investment guideline onboarding and change activities, supporting initial impact assessments and implementation of controls onto the Aladdin platform suitable to your level of experience. Review coding changes done by other team members.
• Support source document processing, identification, capture, and fulfillment of commitments from IMAs, regulations, or internal teams.
• Collaborate with Client teams and external vendors to implement consistency, best practice, and enhance the control environment.
• Resolve queries received and deliver regular tasks to a high standard within agreed service levels, ensuring a robust and efficient control environment.
• Assist in audit/regulator/client queries and visits, coordinating requests and ensuring timely delivery of responses.
• Highlight and analyze gaps, troubleshoot errors, and provide onward communication/training to message risks/gaps, proposing innovative tested solutions.
• Keep abreast of changes in the industry and regulations.
• Participate/Lead in projects and working groups relating to new markets, instruments, and mandates to assess the impact on restrictions monitoring, and initiatives, including providing suggestions on efficiency and risk reduction.
• Coach, mentor, and train junior members of the team, ensuring procedures and materials are kept up to date.
• Support the development of an effective team by fostering collaboration, sharing expertise, and contributing to a positive and inclusive working environment.

Requirements & Tech Stack

• Microsoft Excel proficiency.
• Experience with Word, PowerPoint, Aladdin (or equivalent), Microsoft applications, and SQL.
• Asset Management experience.
• Investment Management experience.

Qualifications

• Good policy and procedure setting, and risk assessment skills.
• Track record of collaborating with internal clients and influencing cross-functional teams to deliver high-quality service within agreed SLAs.
• Involvement in projects and change initiatives is advantageous.
• Experience of the Asset Management industry and investment processes, in particular Investment Restrictions monitoring across a broad spectrum of investment products.
• Knowledge of relevant investment restriction regulations e.g. UCITS, SFDR/SDR would be advantageous.
• Excellent communication and interpersonal skills, both written and verbal.
• Positive, open-minded attitude to change and new ideas, with a creative approach to problem-solving and proactively seeks opportunities for improvement.
• Ability to learn quickly and apply new knowledge effectively.
• Strong organizational and prioritization skills, with the ability to manage competing demands and deliver to tight deadlines.
• Meticulous attention to detail and a focus on quality and accuracy in all outputs.
• Results-oriented, self-motivated, and enthusiastic, with a commitment to team success and client service.
• Demonstrates professional behavior and contributes to a collaborative, innovative culture.
• Receptive to feedback, challenges the status quo, and proactively seeks opportunities for improvement.
• Thrives in a team environment, working towards a collective goal, taking joint accountability for team goals and objectives.