Role Description

As an Junior Analyst, you will assist in delivering a robust control environment and supporting Investment Teams to ensure effective pre- and post-trade restrictions monitoring all within challenging deadlines.

We are looking for someone who likes working as part of a team, is comfortable with a fast-paced operations environment and has a strong attention to detail.

What you'll do Work within a team of analysts responsible for Investment Restriction Compliance Management: violation oversight, onboarding and query resolution.

Assist with the delivery the daily overnight violation monitoring, helping with escalations and following up issues appropriately.

Work with Investment desks / Product / Client Executives across all asset classes on investment guidelines related matters and issues.

Potentially providing advice and assisting pre-trade violation overrides.

Help maintain broker and ready to trade coding in Aladdin and assist Trading Desks with initial queries and escalations.

Aid delivery of mandate investment guideline on-boarding and change activities, updating lists, to simple investment guidelines changes and reviewing the coding changes done by other team members appropriate for your level of experience.

Ensure tasks are completed in accordance with procedures and delivered within agreed service levels. Maintain updated procedure notes covering general processes around new functionality as it arises. Resolve queries received and deliver tasks to high standard of quality and in a timely manner, continuously ensuring a robust and efficient control environment. Ensure any missed deadlines are communicated and recorded appropriately.

General skills and behaviours Managing a high volume of varied tasks efficiently and meeting internal and external deadlines.



Collecting, verifying, storing, and maintaining accurate operational data. An interest in financial instruments and the investment processes

Experience with Microsoft Office products and proficient on Microsoft Excel What you’ll be like Strong organisational abilities are needed to manage multiple events simultaneously, prioritising tasks and maintaining a smooth and efficient workflow.

Positive, open-minded attitude to change and current ideas, with a creative approach to problem-solving and proactively seeks opportunities for improvement. Meticulous attention to detail and a focus on quality and accuracy in all outputs.

This is key for reviewing documentation, ensuring compliance with regulatory standards, and accurately processing information.

Ability to learn quickly and apply new knowledge effectively.

Results-oriented, self-motivated, and enthusiastic, with a commitment to team success and contributes to a collaborative culture.

The ability to analyse data and workflows can help improve processes and enhance the efficiency of processes.

Discharge of responsibilities The role holder shall ensure that all their responsibilities are performed to the highest levels of integrity, quality and transparency and in a manner most likely to promote the success, taking into account the interests of key stakeholders including clients, employees, regulators, suppliers and society as a whole. In discharging their responsibilities, the individual shall establish appropriate oversight and control structures for all areas under their control where needed.

Conduct Rules

This role is within an entity/or entities which are covered by the UK’s Senior Manager and Certification Regime.

Skills

Microsoft Excel, Attention to Detail, English Communication

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