Investment Restrictions & Compliance Analyst

MERJE; United Kingdom; On-site; GBP 50,000 - 70,000; Full time

Job summary

MERJE is recruiting for a Portfolio Compliance Analyst in a leading fund management firm. The role sits at the intersection of Investment Operations, Compliance and Investment teams, owning investment restriction coding and monitoring to ensure mandates stay within client, regulatory and internal limits.

You will code and monitor restrictions in Charles River, manage the daily breach process, work with Compliance, Client Services and Investment teams, and contribute to governance through MI

Qualifications

• Experience in asset/fund management focused on compliance or operations.
• Solid knowledge of investment restriction coding and monitoring.
• Experience with OMS (Charles River) preferred.

Responsibilities

• Code and maintain investment restrictions within the firm's order management system.
• Manage the daily breach process, investigating potential and confirmed breaches through to resolution.
• Work closely with Compliance, Client Services and Investment teams.
• Maintain and audit investment restriction coding and associated manual controls.
• Implement changes to coding as client mandates or regulatory requirements evolve.
• Manage restricted stock lists, internal stop lists and eligible country, market and asset-class controls.
• Produce relevant management information for governance committees.
• Support the wider Portfolio Services team and contribute to operational resilience.

Skills

Investment restrictions

Regulatory compliance

Investment operations

Attention to detail

Cross-team communication

Tools

Charles River OMS

Job description

MERJE is recruiting for a Portfolio Compliance Analyst in a leading fund management firm. The role sits at the intersection of Investment Operations, Compliance and Investment teams, owning investment restriction coding and monitoring to ensure mandates stay within client, regulatory and internal limits.

You will code and monitor restrictions in Charles River, manage the daily breach process, work with Compliance, Client Services and Investment teams, and contribute to governance through MI