Investment Guidelines Analyst (Global Asset Manager)

Rory Mackie & Associates; Cape Town; On-site; ZAR 600 000 - 800 000; Full time

Job summary

A leading asset management firm in Cape Town is seeking a Compliance Analyst to join their Guideline Management team. The ideal candidate will have 3-5 years of experience in asset management and a strong understanding of regulatory restrictions. Responsibilities include performing pre-trade analysis and monitoring compliance breaches. Candidates should be tech-savvy, with knowledge of Charles River and PowerBI.

Qualifications

• 3-5 years' relevant experience within an Asset Management company.
• CFA or Investment Management Certificate (IMC) desirable.
• Detailed working knowledge of Charles River or Thinkfolio.

Responsibilities

• Perform pre-trade analysis for all SA and UK funds/portfolios.
• Interpret client guidelines and regulatory rules for coding into systems.
• Monitor global post trade compliance breaches and report findings.

Skills

Knowledge of Regulatory restrictions

Understanding of investment products

Tech savvy

Analytical abilities

Education

Degree

Tools

PowerBI

SQL

Charles River

Thinkfolio

Job description

The team consists of three areas: investment restrictions, maintenance in order management system, pre- trade rule analysis and post trade incident analysis.

The role will involve frequent and close liaison with stakeholders of all levels, in both front and middle office environments, and requires a candidate who is committed to teamwork and a can-do attitude. The purpose of the Guideline Management team is to ensure that there are no breaches of our clients’ mandate and regulatory guidelines. The team plays a major role in the investment process.

Responsibilities:

• Perform pre- trade analysis for all SA and UK funds/portfolios
• Interpret client guidelines, regulatory rules, and internal restrictions and coding these into Charles River (CRD) and thinkFolio
• Continually review and improve processes to reduce risk and improve efficiency
• Be responsible for daily monitoring of global post trade compliance breaches for SA & UK funds/portfolios and reporting these to the relevant departments. This function will be a large part of the role
• Assist the team with other BAU work
• Assist with ad hoc tasks and projects, especially the current Charles River implementation

Requirements:

• Degree with 3 – 5 years’ relevant experience within an Asset Management company
• CFA or Investment Management Certificate (IMC) desirable
• Good knowledge of Regulatory restrictions
• Excellent understanding of investment products
• Tech savvy, knowledge of PowerBI, SQL, etc.
• Detailed working knowledge of Charles River or Thinkfolio

Attributes we look for in a person are:

• The ability to build and maintain meaningful relationships
• A client focused and collaborative approach
• High conviction and comfortable sharing opinions
• Ability to analyze, interpret and assimilate information