Investment Control Analyst
Impax Asset Management Group
Location
Portsmouth, NH | United States
Job description
The position will be responsible for investment guideline coding and breach monitoring – pre and post-trade, client and regulatory reporting for the Impax US entity and assisting with other first line processes detailed below.
- Investment guideline breach monitoring pre and post-trade violations (automated and manual) - working with the portfolio managers and 2 nd Line Compliance to resolve breaches in a timely manner.
- Assist with extraction, interpretation and coding of investment restrictions for new fund onboardings or fund changes
- M aintaining the Impax house rules coded in Bloomberg AIM, including Impax’s ESG restrictions, working closely with the ESG team to ensure breaches are reviewed appropriately.
- Maintain internal and external watchlists in Bloomberg and Impax’s internal data warehouse ensuring the lists are updated in a timely manner and the process is robust
- Ensuring investment breaches are accurately recorded in the breach record system with any actions remediated within agreed deadlines.
- Working with the Regulatory Reporting Senior Associate to ensure Impax meets its client and regulatory reporting deadlines. Ensure that the integrity of the data disclosed remains at the highest standard by ensuring that adequate controls are in place.
- Ensuring team processes and Management Information (MI) are completed efficiently, making automation a key component. Present the team MI at quarterly department meetings for the wider team and senior managers.
- Ensure procedures are maintained and kept up to date for the Investment Control Team
- Assist with any other ad-hoc operational duties as required for the Investment Control team.
KEY DELIVERABLES
- Assist the Investment Control Senior Associate with pre and post-trade investment guideline monitoring for the US based strategies. This role will be a point of contact for the US portfolio managers and the Trading team for queries regarding rule violations.
- Key role within the Investment Control team for onboarding new funds sat within the US based strategies, ensuring all client and regulatory restrictions have been interpreted, documented, and coded accurately.
- Assist the team with client and SEC regulatory reporting ensuring Impax is adhering to its deadlines for monthly, quarterly and annual reports.
Essential:
- 1-3 years’ experience in guideline coding and reviewing investment restrictions in an Order Management System, preferably Bloomberg AIM
- Asset management experience preferably in the first- or second-line Compliance functions, with exposure to both equity and fixed income.
- Dynamic and solution focused with an ability to identify areas for improvement
- Strong Excel proficiency
- Confident and able to deal with strong-willed individuals
- Professional, “can do” attitude with the ability to take full ownership of work.
- Ability to work to tight deadlines
- Works collaboratively with global colleagues and shares knowledge.
- Excellent attention to detail
- Highly organised individual, able to prioritise workload and adapt to incoming work sufficiently.
Desirable:
- Experience of Bloomberg AIM, VMGR and CMGR
- Experience with SEC regulatory filings and investment restrictions
- SQL proficiency
- Full working knowledge of entire fund and trade life cycle
Job tags
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