Our client is a leading consulting firm. They are looking to engage with a Mandate Compliance Analyst to support the delivery team.
As a member of the Investment Mandate Monitoring Team within the 1st line Business Risk, Controls & Assurance team, you will be responsible for covering both pre and post trade mandate monitoring, ensuring investment transactions and holdings are compliant with client guidelines and regulatory requirements. The ideal candidate will be part of the team that implements coding, monitoring and assurance of investment restrictions. The role also plays a critical role in identifying,
escalating and guiding the remediation of failures to meet these obligations.
1. Reviewing of client mandates, IMAs, Fund Guidelines and Retail product
documentation, to implement and maintain accuracy of rules (management and
coding) on Aladdin and proprietary systems pertaining to client, regulatory and
2. Investigating of real-time pre trade and daily violations generated to mitigate risk
and ascertain the reason for any breaches / exceptions;
3. Timely investigation and reporting of Overnight/Post-trade violations to mitigate
risk and ascertain the reason for any breaches / exceptions;
4. Coding investment restrictions and testing rule evaluation capabilities including
testing of system and non-automated monitoring activities and on-going system
5. Identifying and manage risks and ensure that adequate control processes exist
and operate effectively.·
6. Conducting training of relevant staff including Front Office and Investment
7. Liaising and working with BlackRock Solutions (BRS) on Aladdin issues and
requirements; maintaining the coding approvers table
8. Providing support to the Fund Managers on queries relating to pre and post trade
rules and exceptions.
Note: This project is based out in Mumbai.
1. Hand on experience of processes, products, tools and regulations
2. Prior experience in investment / Mandate / portfolio compliance monitoring
within Investment firms or other Advisory or Consulting Firms
3. Experience of using investment guideline monitoring systems for pre and post-
trade monitoring, escalation of investment guideline breaches and commenting
on guideline violation reasons within the compliance monitoring system.
4. Hand on usage of BlackRock Aladdin is a significant plus. Alternatively Charles
River, Latent Zero Sentinel or Thinkfolio
5. Knowledge of security classification data, experience using Bloomberg, Reuters
6. Strong understanding of financial instruments across asset classes, including
equity, fixed income, alternatives, multi-asset and derivative instruments
7. Understanding of UK and European regulatory frameworks that impact
investment guideline monitoring and UCITS/AIFM/NURS/COLL rules
8. Understanding of prospectus and IMA documentation
9. Excellent Microsoft Office (Excel, Word, PowerPoint etc) skills