Investment Restrictions Analyst

Job description

Role Title: Investment Restrictions Analyst

Business: Global Asset Management

New or Existing Role? Existing

Grade: GCB5

Role Purpose

· Ensure all Regulatory, Client and Internal restrictions and guidelines are correctly monitored on post and pre trade basis. Monitor and investigate exceptions arising from the workflow monitor within agreed timescales and escalated to relevant stakeholders where appropriate.

· Assess Fund and Institutional mandates, coding into Charles River Compliance, BB AIM and/ or similar systems and feeding back to the business where rules can not be coded and provision to monitor manually.

· Investigate and resolve ad hoc queries and instructions arising from various stakeholders to a high standard

· Assist or project-manage ad hoc work arising from with the team as delegated by team head.

Key Accountabilities

Impact on Business

· Ensure all Regulatory, Client and Internal restrictions and guidelines are correctly monitored on post and pre trade basis. Monitor and investigate exceptions arising from the workflow monitor within agreed timescales and escalated to relevant stakeholders where appropriate.

· Assess Fund and Institutional mandates, coding into Charles River Compliance, BB AIM and/ or similar systems and feeding back to the business where rules can not be coded and provision to monitor manually.

· Investigate and resolve ad hoc queries and instructions arising from various stakeholders to a high standard

· Assist or project-manage ad hoc work arising from with the team as delegated by team head.

· Ensure all Regulatory, Client and Internal restrictions and guidelines are correctly monitored on post and pre trade basis. Monitor and investigate exceptions arising from the workflow monitor within agreed timescales and escalated to relevant stakeholders where appropriate.

· Assess Fund and Institutional mandates, coding into Charles River Compliance, BB AIM and/ or similar systems and feeding back to the business where rules can not be coded and provision to monitor manually.

· Investigate and resolve ad hoc queries and instructions arising from various stakeholders to a high standard

· Assist or project-manage ad hoc work arising from with the team as delegated by team head.

Customers / Stakeholders

· Build relationships with fund managers, client service teams or nominated executives to ensure common understanding of client mandates and restrictions.

· Liaise with Data Management team and CRD support functions to resolve data and system queries.

· Support CRD project team.

Leadership & Teamwork

· Proactively contribute to effective teamwork, sharing knowledge and identify training opportunities with team members.

Operational Effectiveness & Control

· Good management of restriction workflow.

· Escalation and reporting of unresolved breaches outside of SLA.

Major Challenges

· Interpreting applicable laws and regulations into code- able rules.

· Work and manage in a business transformation environment.

· Understanding the capability and limitations of CRD (and similar systems) through knowledge of data sources.

· Manage multiple task

Management of Risk

· Is aware of the Operational Risk scenario associated with the role and acts in a manner that takes account of operational risk considerations.

Observation of Internal Controls

· Maintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.

· Understands, follows and demonstrates compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which the jobholder is involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy.

Understand the Treating Customers Fairly (TCF) principles, HSBC Global Asset Management's TCF philosophy and how this affects your role. Act in a manner that takes account of these principles to ensure fair outcomes for customers

Desired profile

Qualifications :

· Experience with using Charles River Compliance/ BB AIM as a monitoring tool and compliance background advantageous though not essential

· Good understanding of financial markets, investment vehicles, asset classes and benchmark indices.

· High attention to detail, analytical.

· Good relationship management skills.

· Good Excel, Access skills

· Graduate or graduate calibre.

· Investment qualification desirable.

We are an equal opportunity employer and are committed to creating a diverse environment.