Guideline Management Analyst

Division Description:
The Operations Department provides middle and back office operational services either within Insight or provided to Insight by external parties. The teams are:
• Data Management Office and Regulatory Reporting Oversight: oversees the enhancement of processes, controls, governance and reporting relating to the sourcing, use and quality of data that supports key business processes and systems
• Pooled Fund Operations: oversight of third-party fund accountants/transfer agencies
• Investment Operations:
– Mandate Control (review and coding of investment guidelines)
– Derivatives Operations (over-the counter (OTC) derivatives valuations, OTC collateral, general operational support, oversight of outsourced back office provider, Northern Trust’s (NT) Derivatives services)
– Market Operations (cash management, general operational support, oversight of NT Market Operations services)
• Operations Strategy: operational support for Insight business initiatives and market intelligence
• Performance, Reporting and Analytics: performance and performance attribution, client reports, meeting packs, factsheets, oversight of third-party generation of client reports, oversight of NT performance services operations/data for loans
• Transitions and onboarding: management of operational elements of client onboardings (changes and transitions), management of trade documentation associated with client onboardings, changes and transitions and oversight of NT Transitions services

Position Description:
The Guideline Management team are responsible for the drafting, implementation, coding and monitoring of investment guidelines. The team are integral to front office processes and are sat amongst the fund management team and client solutions group, working closely with them to ensure guidelines are operationally sound and that investment risk limits are adhered to.

The Guideline Management Analyst will be responsible for reviewing Active investment guidelines following their execution and take responsibility for the coding of pre/post-trade investment restrictions into thinkFolio, Aladdin and an Insight built compliance engine. They will also be responsible for the post-trade monitoring across U.S. clients and will be required to support the fund management team in resolving any incidents. They will assist and take the lead in Guideline related projects, suggest enhancements to existing processes and work closely with the Guideline Management Manager in the build out of the offshore team in Pune.

Role Responsibilities
• Build a detailed knowledge of all compliance systems, understanding the various risk limits and the coding capabilities.
• Ensure all new mandates/amendments are coded into systems within the agreed timeframes with a high level of accuracy.
• Work closely with the Fund Managers and Client Directors to ensure that coding has been accurately interpreted and signed off within the appropriate timeframe.
• Ensure client guideline queries from across the business are answered in a timely and accurate manner.
• Complete post trade monitoring of incidents generated by the compliance systems, ensuring incidents are proactively escalated and recorded in the relevant systems.
• Complete monthly and quarterly compliance attestations within the required deadlines.
• Support the fund managers with ad-hoc queries related to pre-trade warnings generated by the compliance systems.
• Continuously engage with IT to evolve systems; assisting and taking the lead in Guideline related projects.
• Assist the Guideline Management Manager in the build out of the offshore Team in Pune
• Work closely with Fund Management and the Client Services team in the review of guidelines – ensuring that amendments can be coded into the compliance systems and standardizing the format of guidelines across the U.S. business.
• Liaise with various internal parties (Fund Managers, Legal, Compliance, Risk, Client Directors, Traders) on Guideline Management team projects – ensuring deadlines are met.
• Proactively devise ways to reduce operational risk to the business and to increase the efficiency of processes.

Experience Required
• Minimum of a BA or BS in finance, mathematics, economics or equivalent.
• At least five years in a guideline-related function with experience of thinkFolio or Aladdin preferred but not essential for the role.
• Experience of working in Guideline related projects with a proven ability to enhance existing processes
• Proficient in using Microsoft Excel, Word, and PowerPoint.
• Strong understanding of fixed income securities.
• Strong understanding of derivatives.
• Strong ownership of role and responsibilities.
• Innovative approach to problem solving.
• Proactive, self-starter, energetic and enthusiastic individual.
• Confidence to engage with a variety of people from around the business, including Client Directors, Fund Managers, Traders, Operations, Senior Management, etc.
• Attention to detail.
• Strong numerical skills.
• Excellent organizational skills, proven ability to multitask and prioritize.

Insight is committed to being an inclusive employer and encourages applications from all suitably qualified applicants irrespective of background, circumstances, age, disability, gender identity, ethnicity, religion or belief and sexual orientation.