Investment Analyst

Contract: New York, New York, US

Salary: $83.00 Per Hour

Job Code: 332015

End Date: 2023-04-28

Job Status: Expired

This Job is no longer accepting applications
Job Purpose (overall high level summary of the role)
  • The role will be responsible for client, regulatory and internal investment restriction interpretation, rule coding, approval, monitoring, rule override and uplifting activities.
  • Role purpose is to ensure that all client, regulatory and internal restrictions are accurately coded and monitored in the Bloomberg AIM Compliance system, ensure client, regulatory and internal restrictions and guidelines are monitored on pre trade and post trade basis.
  • The Investment Restrictions team is responsible for restrictions management including coding and testing of rules on Bloomberg AIM, monitor and investigate exceptions within agreed timescales and escalate as appropriate to relevant stakeholders.
  • Role includes the manual restrictions monitoring and regular assessment of the restrictions that cannot be coded in the compliance system.
  • This function is critical to maintain strong controls around investment transactions and governance of client guidelines and restrictions.
  • Monitor and code for cross border mandates where AMUS is the lead manager and funds delegated to other global region.
  • Coordinate with global investment restriction team and local compliance both locally and globally with restrictions reporting requirements involving data capture, aggregation, validation of data and accounts, understanding of new regulations and conformities to ensure investment compliance.
  • Work closely with stakeholders from various business lines and functions within AMG (e.g. Front Office, Client Management, Product, Risk, Compliance, Data, IT), build and maintain positive relationships and ensure effective communication.
  • Support the development of a strong governance framework around Investment Restrictions including the production of Management information (MI), and the maintenance of best practices.
  • Participation in automation and enhancement projects, proving feedback and working to strengthen the Investment Restriction process and workflow.

Impact on the Business/Function

• Assess investment guidelines and restrictions requirements for US and Global UCITS regulated funds and institutional client mandate as communicated by Product, Risk, Compliance, or Client Services. Code, test and implement guidelines & restrictions into Bloomberg AIM or other systems used. Monitor and investigate exceptions, resolution and escalation as appropriate to relevant stakeholders.
• Ensure quality and consistency of centrally managed Investment Restrictions especially with regards to coding and testing of rules.
• Support the delivery of suitable MI and input for better STP processes to all business lines and functions affected (Risk, Compliance, Front Office, Client Management, Product, Data, IT, etc.).
• Drive the reinforcement of skills of the Investment Restrictions staff due to knowledge sharing and definition of best practices.
• Deliver ongoing improvements with process driven solutions
• Manage delivery of services to Asset Management FIM, SLA and continuity/DR modelling
• Where necessary, define, participate and undertake testing, defect analysis and issue resolution during QA and UAT testing cycles


Customers / Stakeholders

• Deliver fair outcomes for our customers and ensure own conduct maintains the orderly and transparent operation of financial markets.
• Engage with key business stakeholders (investment restriction, fund management, client management, product , risk management, compliance, operations ) define process expectations and quality measurements, ensure common understanding of client mandates and restrictions.
• Work with key stakeholders to implement efficient solutions to support the various change programs.
• Build strong relationships with local business trade support teams, Operations, IT and Data Management.
• Support the generation of monthly MI and actions derived based on the outcome.
• Engage with the Global Data Management team on- and off shore to define data requirements and to enforce data quality and availability.
Strong Vendor Management of Outsource Partners

Leadership & Teamwork

• Interaction with all areas of AMUS including Operations, Front Office, Product, Risk, Compliance and IT and service providers ( Bloomberg AIM , Northern Trust, State Street)
• Encourage and support local and global teams on knowledge exchange and use of best practices.
• Close liaison with other regional and global IR teams.
• Working with Global Investment Restrictions, Bloomberg, IT to support roll out of the global data platforms to additional business areas
• Ability to achieve results through influence and persuasion.
• Lead by example with the implementation and adoption of the group Data Policies and FIM for the domain
• Pro-active and working closely with senior investment analyst and middle office operations team, effective team collaboration with fund launches and close monitoring and oversight of investment restrictions.
• Foster team spirit and teamwork.

Operational Effectiveness & Control:

• Understand and ensure compliance with all relevant internal instructions (FIMs, GSMs, GCLs, etc.) and external regulatory requirements, including the management of operational risk and adherence to the Group’s standards of ethical behaviour.
• Support a high quality environment where attention to detail, accurate and timely reporting and constructive resolution of issues are common practice
• Ability to work accurately under pressure and to tight deadlines
• Make suggestions for ongoing process changes
• Assist locations in implementing global operating models and changes
Good influencing skills and interpersonal skills

Management of Risk (Operational Risk / FIM requirements)

  • The jobholder will ensure the fair treatment of our customers is at the heart of everything we do, both personally and as an organisation.
  • This will be achieved by consistently displaying the behaviours that form part of the client Values and culture and adhering to Client risk policies and procedures, including notification and escalation of any concerns and taking required action in relation to points raised by audit and/or external regulators.
  • The jobholder is responsible for managing and mitigating operational risks in their day to day operations. In executing these responsibilities, the Group has adopted risk management and internal control structure referred to as the ‘Three Lines of Defence’. The jobholder should ensure they understand their position within the Three Lines of Defence, and act accordingly in line with operational risk policy, escalating in a timely manner where they are unsure of actions required.
  • Through the implementation the Global AML, Sanctions and ABC Policies, supporting Guidance, and Line of Business Procedures the jobholder will make informed decisions in accordance with the core principles of client's Financial Crime Risk Appetite.
  • The following statement is only for roles with core responsibilities in Operational Risk Management (Risk Owner, Control Owner, Risk Steward, BRCM, and Operational Risk Function
  • The jobholder has responsibility for overseeing and ensuring that Operational risks are managed in accordance with the Group Standards Manual, Risk FIM, & relevant guidelines & standards. The jobholder should comply with the detailed expectations and responsibilities for their core role in operational risk management through ensuring all actions take account of operational risks, and through using the Operational Risk Management Framework appropriately to manage those risks.
This will be achieved by:
  •  Continuously reassessing risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructurings, and the impact of new technology.
  •  Ensuring all actions take account of the likelihood of operational risk occurring, addressing areas of concern in conjunction with Risk and relevant line colleagues, and also by ensuring that actions resulting from points raised by internal or external audits, and external regulators, are correctly implemented in a timely fashion.
  • Observation of Internal Controls (Compliance Policy / FIM requirements)
  • The jobholder will adhere to, and be able to demonstrate adherence to, internal controls and will implement the Group compliance policy by adhering to all relevant processes/procedures.
  • The term ‘compliance’ embraces all relevant financial services laws, rules and codes with which the business has to comply. This will be achieved by adherence to all relevant procedures, keeping appropriate records and, where appropriate, by the timely implementation of internal and external audit points, including issues raised by external regulators.
  • The following statement is only for roles with managerial or specific Compliance responsibilities
  • The jobholder will implement measures to contain compliance risk across the business area. This will be achieved by liaising with Compliance department about business initiatives at the earliest opportunity. Also and when applicable, by ensuring adequate resources are in place and training is provided, fostering a compliance culture and optimising relations with regulators.
 
Job Requirement
  • Investment Management
  • BRCM
  • Risk FIM
  • FIMs
  • GSMs
  • GCLs
  • Operational Risk
  • AIM
  • FIM
Reach Out to a Recruiter
  • Recruiter
  • Email
  • Phone
  • Pooja Koul
  • pooja.koul@collabera.com
  • 9733816730
This Job is no longer accepting applications
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