About your role
You will be playing a key role within the team with respect to the launch of new investment products, take-on process for new mandates and amendments of existing investment guidelines by communicating with various colleagues – within investment compliance as well as externally, on the suitability of the investment restrictions and ensuring that investment restrictions are accurately coded in the Charles River compliance system.
Key Responsibilities
· Onboarding of current clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into compliance systems for ongoing monitoring of funds/accounts’ guidelines;
· Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded;
· Regular Rule maintenance on compliance system i.e. CRD;
· Conduct Account Mapping / Review viz a viz applicable rule;
· Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rule and ensuring rules are working as intended;
· Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams;
· Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules;
· Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines;
· Assist in resolving queries with regional compliance teams;
· Assist with ongoing review of relevant processes and procedures to ensure best practice;
· Assist in a range of FIL-wide projects or tasks;
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