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Senior Mandate Monitoring Analyst (Investment Management), Investment Guidelines, Investment Restrictions, Compliance, Rules Coding, Exceptions Monitoring, Fund Management We are seeking a senior mandate monitoring analyst (permanent) to be based in London/City to oversee, guide, and control the coding of investment guidelines and breach monitoring for a major global investment management firm. The role extends to interpretation of client investment management agreements and fund prospectuses (for investment restrictions) and moving the firm's process towards a fully automated guidelines process. Also to process improvement and control processes for both internal and outsourced rules coding and mandate monitoring functions. The successful hire will have deep experience and understanding of investment guidelines and deep knowledge of guideline exceptions monitoring. There is likely to be an occasional element of hands-on rules coding in the role (for new and complex rules), but not of exceptions monitoring - the role is in Investment Operations (not within Compliance). You will have a deep experience and understanding of investment management mandates for segregated accounts/separately managed accounts, and of prospectuses for collective funds/pooled funds - both UK/onshore retail funds and offshore retail funds. Ideally the offshore experience will include both Irish and Luxembourg funds. Your experience will extend to regulatory restrictions. Experience of both post-trade and pre-trade compliance monitoring is required, across a wide range of asset classes (including Equities, Fixed Income, ETDs, and OTC Derivatives), and a deep understanding of the investment process. The client is open to experience of any OMS compliance application (thinkFolio, Sentinel, Charles river, Aladdin etc.) Summary of requirements: Deep experience of Investment Guidelines, and associated Rules Coding, this across both Pre-Trade and Post-Trade compliance Deep understanding of Compliance Exceptions/Breaches Monitoring Experience of Segregated Accounts/SMAs, and of Collective Schemes/Retails Funds - across both UK On-Shore and Off-shore funds Experience of Irish and Luxembourg retails funds (as well as UK) highly desirable Breadth of experience across Asset Classes (Equities, Fixed Income, Exchange Traded Derivatives, OTC Derivatives) Deep understanding of the Investment Process You are likely to be or have been in an investment operations or compliance role, including rules coding and/or exceptions monitoring, in a substantial investment management firm. This a senior role which will include mentoring and guidance of staff (not formal man management) and provides great opportunity to progress (either in investment operations, compliance, &/or in management).Cornwallis Elt is an Employment Agency and has been listed 3 times in The Sunday Times Virgin Fast Track 100 of the UKs fastest growing private companies, as well as in the Recruitment International Top 250, Top 50 in IT and the Recruiter Fast 50.

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