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ThinkFolio Compliance Trading Guideline Analyst

Date: 7 Nov 2018
Sector: FINANCIAL MARKETS
Type: Contract
Location: London
Salary: £50000 - 65000 per annum
Email: duncan@taylorjamesresourcing.com
Ref: db478568912

Our client is a global Asset manager, They are looking for an experienced Trading Guideline Analyst to manage

  • Pre Trade: Implementing the Fails override process for thinkFolio transactions.
  • Post Trade: Management of the breach investigation process for all mandated accounts, and confirmation of Investment Manager checking of Thinkfolio Text Rules.

Middle/back office experience essential, ideally with knowledge of UCITS guidelines / pre or post trade expertise.

  • Maintaining operational rules on Thinkfolio to support transitions and global events.
  • Implementation of the thinkFolio fails override process to ensure that no breaches of client mandated and regulatory rules remain undetected. This will include making appropriate trade related recommendations to the various investment teams to facilitate prompt remediation of any inappropriate overrides.
  • Appropriate escalation of operational incidents and guideline breaches to senior management and notification to Compliance/Organisational Risk as required.
  • Validation of all Sentinel Warning overrides intraday to ensure that the Investment Managers (IM’s) rationale is accurate and does not breach mandated restrictions.
  • Presenting daily management information (MI) and other management reporting

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