Investment Compliance Analyst

Sterling Williams are currently supporting the hiring of an Investment Compliance Analyst on behalf of a Fund Services and Solutions business on a permanent basis - this would suit candidates with a background in Investment or Fund Operations looking to move into Compliance or Risk, or someone with 12 months in Compliance already. Investment Compliance / Risk Analyst Salary circa £30,000 - £34,000 pa plus benefits Full-time;

permanent Office location:
Peterborough, but hybrid working is on offer (tapering down over the first few months to 2 consecutive days a month in the office) Working within the Compliance team, the Investment Compliance and Risk Analyst will support the wider team who are responsible for the day-to-day oversight of all Funds for Authorised Corporate Director (ACD) and Administration services, from monitoring investment risk to meeting mandatory regulatory reporting standards.

Manage, action, and assign emails received to the Compliance Team group inbox daily. Highlight and escalating to members of the team where required. Assist with the timely resolution of errors and complaints including escalation of significant matters and ensuring appropriate record keeping. Ensure that all errors omplaints are recorded on the registers held and appropriate documentation is produced and retained to facilitate Compliance and Depositary reporting.

Liaise with delegated Investment Managers and all in-house Operational teams over any errors arising, in order to record and reduce the number of the recurrence of breaches. Prepare monthly KPI data for error trends including commentary and analysis, participate within the Operational Risk governance committee as required. Assist with investment risk compliance oversight, including through the Funds-Axis platform data monitoring and reporting of investment and borrowing powers, liquidity, global exposure monthly reporting to the Investment Committee and thereafter quarterly risk returns submissions to the Depositary.

Involvement to ensure the correct application of fair value pricing and independent pricing of assets where relevant. Maintenance of Eligible Markets and Assets listing to facilitate periodic reviews, including Fund propositions/launches and transitions to ensure investment in eligible markets, due diligence has been performed. Working cooperatively with the Depositary and Investment Manager firms. Assist with regulatory reporting and oversight, including for example the Alternative Investment Fund Managers Directive (AIFMD) returns and the European Market Infrastructure Regulations (EMIR) reconciliation confirmations.

Assist in the review of the Fund’s portfolio spreads on a quarterly basis in regard to those same dilution levy limits. Involvement with the implementation and regular review cycle and update of compliance and operating policies and procedures both inclusive of version control management Undertake regular reviews: an Investment Manager’s report commentaries for Fund report and accounts inclusion. Regular review of Financial promotional marketing materials for the Fund(s).

Completion of external party due diligence questionnaire reviews, i.e., Depositary, third parties as required. Maintain technical and regulatory capability keeping aware of market and industry developments. Providing ad-hoc support when required across the business to achieve Company objectives and goals. Involvement in the reporting of information internally and externally, including to the boards, committees and the Depositary. Participate in reviews of SLAs’ and report any gaps and or discrepancies in service delivery to reporting line.

Attend internal and external meetings as and when required. Technical

Skills and Qualifications Required Education to A level or equivalent in English and Maths. Those without school qualifications must be able to demonstrate aptitude at an equivalent level. General understanding of investments within the Financial Service industry - with experience in investment or fund operations, or compliance & risk within the Financial Services (12 months plus) Industry qualifications e.g., IOC, CISI, IMC an advantage…