Senior Analyst - Portfolio Compliance Monitoring

Key Responsibilities-

• To support the Global Investment Compliance colleagues in review and evaluation of Investment Restrictions and recommend and implement such investment restrictions for compliance testing.
• 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.
• Identify, track, resolve and report compliance breaches in-line with internal policy and regulatory requirements.
• To assist with ongoing review of relevant processes and procedures to ensure best practice by bringing efficiency and streamling manual controls.
• Preparing compliance reports, certifications and responding to compliance questionnaires.
• Ensuring detail documentation of end to end procedures, maintenance of procedures repository including change notification in various systems.
• Develop effective working relationships with other functional areas for timely receipt of information required for the completion of tasks
• Provide a high quality timely service to customers
• Assist in a range of FIL-wide projects or tasks

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Skills Required

Documentation, Compliance Testing