Investment Guidelines Officer

Job Details


City of London

Job Description

Investment Guidelines Officer

Salary: Up to £70,000. Excellent bonus and benefits.

In an international context, the IG officer acts as a key contributor in the adherence of all its regulatory, client, or internal investment guidelines with identification of guidelines, implementation of controls in automated solutions, permanent and independent controls, logging and escalation of breaches for remediation, support of the front office in the prevention of breaches, and reports on these activities. The successful candidate will contribute to the protection of the interests of our clients and the reputation of the firm.

The relative weights of each accountability may vary depending on the position held by each IG officer, the location, and her/his seniority.

The key areas of responsibility include:

  • Identify and interpret all investment guidelines in regulations, prospectus, contracts, and internal risk policies. Assess suitability and feasibility of investment guidelines monitoring. Escalate the risk of non-monitorable guidelines. Create or update control card summarising all the investment guidelines. Obtain validation of the control cards. Maintain completeness and reliability of the central guidelines repository.
  • Ensure the coding in the different automated monitoring systems. Control the implementation. Specify for development in relationship with technology teams or develop new solutions to monitor new investment guidelines or to adapt to new instrument types.
  • Contribute to the pre-trade controls, the prevention of breaches being under the responsibility of the front office.
  • Conduct daily and independent controls of investment guidelines. Ensure full coverage and reliability of this monitoring. Keep evidences of the controls. Analyse alerts raised in post-trade by the different systems and/or by third parties.
  • Issue a breach notification to the fund manager for remediation in the best interests of the client and escalate the breach if not remediated in time. Track to resolution and potentially request for tolerance. Log the breach in a central database, qualified as active or passive, with the analysis and the all evidences. Maintain the repository completeness and quality.
  • Produce breach/KPI reports to some clients, some auditors and local or global governance bodies.
  • Ensure collaboration with all teams involved in the Investment Guidelines process, like the offshoring of activities.
  • Contribute to initiatives to adapt to environment evolution (eg regulatory, organisational, technical) or that reduce operational risks or improve operational efficiencies.
  • Ensure knowledge maintenance and business continuity.

Experience needed:

Experience in a similar function within an asset manager is essential

Knowledge and Skills:

  • Financial instruments, management strategy and portfolio valuation.
  • Awareness of related information systems and agility in using multiple tools.


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