Analyst - Investment Risk Oversight

Fund Rock is a Pan-European leading independent UCITS management company and AIFM (Alternative Investment Fund Manager). Our clients are established blue-chip companies and leaders in their domestic market.
We invest in our people, enabling you to develop your skills and build on your experience.
If you like the idea of working for an ambitious and growing company, as part of a multicultural team, we are the place for you.

We have an opportunity for a Senior Analyst within the Portfolio Oversight team to undertake daily investment compliance, monitoring and reporting activities for the Funds which Apex Fundrock Limited (AFL) and Fund Rock Partners Limited (FRP) are the Authorised Corporate Director (ACD) / Authorised Investment Fund Manager (AIFM).

You will work in a team responsible for monitoring and analysing investment exposures across portfolios and ensuring compliance with regulatory and prospectus risk limits. You will also assist with FCA regulatory reporting.

The ideal candidate will have strong knowledge of post-trade investment compliance monitoring and have a good understanding of various asset types including Bonds and Derivatives, investment operations and experience working with asset managers, custodians and other key stakeholders.

• Post-Trade monitoring – Conduct daily post-trade (FCA COLL - Investment & Borrowing Powers) analysis of portfolios to ensure adherence to risk limits and guidelines. Identify, assess and elevate breaches or risk limit exceptions and support resolution.
• Perform asset eligibility assessments in line with relevant rules and regulations.
• Regulatory Compliance – Ensure that funds comply with regulatory, scheme documentation investment limits and eligibility assessment. Review, analyse and report to all parties’ breaches of any risk limits.
• Deal with routine and ad hoc queries from sponsors, investment managers, depositaries and other third parties.
• Liaise with appropriate firms who support the team: e.g. custodians, fund accountants, fund auditors and lawyers, as directed.
• Keep abreast of regulatory change.
• Preparation and submission of MI to internal and external boards and committees, with the ability to critically analyse and challenge the MI to ensure significant issues and concerns are escalated appropriately.
• Maintaining and enhancing procedures.

• Degree preferred, but not essential, with further professional qualifications (e.g. IOC, IMC) an advantage.
• A minimum of 3 - 5 years’ experience of working in financial services with exposure to UCITS and AIF Funds.
• Excellent knowledge and experience of the UK regulatory environment and rules prescribed in the FCA Handbook - CIS, COLL, FUND, and SECN sourcebooks; and demonstrate knowledge of international investment regulations e.g. ESMA, AIFMD etc.
• Knowledge of Collective Investment Schemes.
• Experience in High Wire or similar Investment Compliance systems, a distinct advantage.
• Demonstrate good communication skills, both written and oral and be able to converse internally and externally with personnel at all levels.
• Independent thinking to find efficient and innovative ways to solve problems.
• Meticulous attention to detail.
• Ability to function in a dynamic and ever-changing environment.
• Ability to manage workload and prioritise tasks.
• Have a proven hands‑on attitude, be flexible and adaptable.
• Strong communication, organisational and analytical skills.
• Observation of proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties.
• Respect the firms approach to client care and demonstrate due regard to the interests of the clients in any, and all third‑party dealings.
• Strong IT skills – advanced Excel, Word, PowerPoint, Outlook, Bloomberg.

The aim of the job description is to indicate the general purpose and level of responsibility of the role. Please be aware that duties may vary from time to time without changing their character or general level of…