We are looking for a Guideline Management Control Analyst to join our Cardiff office.

Role Requirements

Working in a team of 6, LGIM are looking for Compliance Analysts to identify and code Pre- and Post-Trade compliance restrictions in line with centrally agreed Standards and Definitions.  This will consist of the following activities:

Reviewing client contracts  and contract amendments to identify all required restrictions

Working with Compliance teams and Regulatory experts to identify Regulatory restrictions

Working with Internal Management to identify additional Internal Management restrictions

For each identified set of restrictions, identifying the data sets required to support the coding

Working with the rest of the team to apply and enforce  agreed Standards and Definitions

Liaising with Fund Managers, Product Managers, Client Relationship Managers and locally based team members to ensure correct interpretation and agreement to the proposed restrictions prior to coding

Coding the restrictions into the Charles River platform

Ensure rule is accurate and fit for purpose by carrying out positive and negative scenario testing

KEY ACCOUNTABILITIES/responsibilities:

Documentation

Question and challenge contradictory or ambiguous restrictions and amendments with Compliance/Product/Client Relationship Managers as required

Team Integration

Forming and maintaining effective working relationships with Portfolio Monitoring team members and other Risk analysts

Maintaining an open and effective dialogue with Fund Managers and Client Relationship Managers, in relation to restriction interpretation

Forming a view as to the appropriateness of the data being captured and the quality of the coding methodologies being employed

Exposure to all asset classes, developing a detailed understanding of workflow and investment process

Client Service

Capture the review and interpretation of Regulatory/Client/Product restrictions into Portfolio Monitoring systems

Sign-off processes and procedures followed

Ensure that meetings are scheduled and new fund implementations and amendments are completed in line with SLA’s

Development of working relationship with key stakeholders

Coding Responsibilities

Ensuring that all new rules coded into Charles River relating to Regulatory/ Client/Product restrictions are tested adequately both for accuracy of coding and interpretation

Ensuring that the interpretation of all Regulatory/Client/Product restrictions are captured in Portfolio Monitoring systems accurately and in a timely fashion

On-going maintenance and improvement of the Portfolio Monitoring processes with a focus on standardisation and automation

Background would ideally include an understanding of the Investment Management process and some experience in Guideline Compliance.  You will have an eye for detail in order to identify constraints embedded within contracts and have the market experience to understand the different asset classes and associated key analytics.

Detailed data knowledge is not required, but the holder of this role will need to identify the data sets required by applying logical analysis and problem solving skills.

You will be self-motivated and able to work as part of a larger team, both contributing to the model design and then being prepared to stick to the agreed model principles.  You will be required to work with stakeholders remotely via telephone, email and video-conferencing.

Professional Requirements

Ideally educated to degree level

Intermediate to advance Excel knowledge (VBA would be useful)

Personal Characteristics

Good interpersonal skills - including verbal and written communication skills

Determined, self-motivated and resourceful to achieve objectives

Ability to absorb, interpret and apply information effectively

Logical thinking

Proven problem solving ability

Whatever your role, we reward ability, performance and attitude with a package that looks after all the things that are important to you. Our employees have a wide range of benefits including a generous pension scheme, life assurance, 25 days’ holiday, private medical insurance, discretionary performance related bonuses, paid overtime, a variety of share schemes, discounts at both a huge range of high street stores and our own great products, your hard work will be rewarded when you join us.