• 30 April 2008
• Reference: JR199645

• Compliance Guideline Analyst

• City of London Dependent on experience Temporary

One of the worlds largest fund managers seeks a Guideline Monitoring Analyst to address audit and control concerns over the independence of current Fixed Income guideline monitoring Compliance project, throughout Europe and to improve future business model compliance and take over the current guideline coding in both ARIA and GATE currently performed by the Client Control function in Europe.

Working within a Compliance Department as part of a team responsible for extracting and analysing client, regulatory, and internal guidelines in order to facilitate entry into automated and non-automated monitoring systems, you will be required to assist in analysis of restrictions, interpretation and subsequent coding and check the rules in the appropriate systems, and develop control processes that support the ongoing use of automated and non automated monitoring.

Specific responsibilities include the review of IMAs to extract guideline rules. Maintain and update system and templates for new, amended, or terminated accounts. Analyse and interpret investment restrictions. Determine appropriate restriction structure and data attribute requirement for appropriate monitoring. Liaison with, and gain agreement of interpretation of guidelines from appropriate areas (CRO, PM, Global Compliance, Legal etc). Coding of investment restrictions into guideline monitoring systems. Identify risks/issues with any guideline or system functionality. Test and ensure appropriate coding and system functionality within guideline systems. Determine suitable guideline monitoring processes for guidelines that cannot be automated. Develop or assist in the development of non automated guideline monitoring programmes. Perform non automated guideline monitoring according to determined programmes when required.
Post-trade incident management - review and manage exceptions generated from automated systems or alternate monitoring processes. Challenge and seek resolution of potential issues when dealing with BGI staff at all levels. Management and performance reporting at all levels in accordance with current policy. Carry out periodic reviews of all regulatory, client or product requirements for guideline monitoring and update systems or programmes accordingly. Complete ad-hoc monitoring requirements as directed.

You will need to work with the Compliance team, Front Office and other Business users and achieve credibility, drive resolution through "hands-on" approach, be clear and concise with an analytical mind and approach. The ability to offer alternative approaches in problem solving situations is beneficial.

The ideal candidates background will include Financial Services / Asset management experience, knowledge of the Latent Zero or Sentinel applications, knowledge of Compliance post trade monitoring and a solid knowledge of Fixed Income instruments.

If you have similar experience to that outlined above, and are looking for a temporary opportunity within a progressive and dynamic environment, please forward your CV to compliancetemps@joslinrowe.com or call directly on 02077866412

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Keywords related to this job

• Compliance,
• Monitoring / Surveillance / Testing,
• City of London,
• Temporary,
• Asset/ Investment Management,
• sentinel,
• Latent Zero,
• Compliance,
• Monitoring,
• Guidelines