• 15 August 2008
• Reference: JR204154

• Investment Guideline Monitoring

• City of London £500 - £750 day Temporary
• Benefits: +

A leading European Investment Banks Asset Management division is seeking a highly experienced Investment Guideline Monitoring Expert to hit the ground running and project manage as well as provide hands on assistance with the following:

*Contribute to the smooth onboarding (and termination) of each client account, working with Legal, Operations and Relationship Managers to ensure that contractual provisions are monitorable and accurately reflect client needs
*New account take-on including coding / testing of rules (in BEAMS, Charles River, Sentinel), ensuring all client guidelines (where possible) are loaded in the system(s)
*Closed account de-activation (in BEAMS, Charles River, Sentinel)
*Maintenance of the global organization / account hierarchy (in Sentinel)
*Pre-trade breach monitoring and control of overrides.
*Post trade breach analysis and resolution.
*Manual monitoring of client guidelines which cannot be systematically checked.
*Follow up exceptions with manager/trader concerned
*Broker restriction / broker limit setting and maintenance.
*Work with IT to develop enhancements to BEAMS, Charles River, Sentinel to further improve CSAM's guideline checking capabilities.
*Negotiating new and amended client guidelines
*Takeover Panel Disclosures
*Companies Act Disclosure
*FSA (UK regulator) transaction reporting
*Internal share disclosures
*Compliance certifications to clients and overseas offices
*Account and guideline set up for Warsaw and Budapest offices
*Ad hoc project work providing Compliance input into various IT/front office/Admin projects
*Monitor adherence to CSG Group Restricted List
*Business Continuity Planning (BCP) representative
*Ad hoc client meetings regarding controls around guideline monitoring
*Remediation and documentation of investment guideline breaches and the logging of these errors on the GLD
*Authorisation of GLD's
*Authorised signatory AM Errors account proc
*Ad hoc guideline queries from other AM offices for delegated mandates
*13F quarterly reporting
*Ad hoc and quarterly disclosures to FX counterparties to comply with the NIP's regulation
*Periodic manual monitoring of the AM London Property guideline restrictions.
*Weekly New Issue review
*Monthly country rating review
*Monthly and quarterly duration reviews
*You will also be required to manage team members
*Project has 3 phases - Data, Pre Trade Compliance and Post Trade Compliance
*Equities, Fixed Income and CRD exposure essential
*Previous rule coding (in Sentinel) is imperative, and experience with Charles River

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,
• Investment / Trade Compliance,
• City of London,
• Temporary,
• Investment Banking,
• Sentinel,
• Charles River,
• Compliance