Investment Restrictions Monitoring Supervisor

Our client, a provider of financial services through various global businesses, including Retail Banking & Wealth Management, Commercial Banking, Global Banking and Markets, and Wealth & Personal Banking, is seeking to recruit an Investment Restrictions Monitoring Supervisor for their Depositary and Fiduciary Services department.

Missions

• Managing the compliance review of Group-sponsored funds and third-party clients’ funds
• Ensuring adherence to investment guidelines, board of directors’ internal policy decisions, as well as local and foreign regulatory restrictions
• Oversee automated and manual investment restriction compliance monitoring and participate in the interpretation of investment restrictions
• Proposing analysis of new laws and regulations applicable to clients

Profile

• 2-3 years of relevant experience in the investment funds industry, including significant exposure to investment restriction compliance matters
• A university degree in Finance or equivalent is required, along with experience in monitoring adherence to the funds industry regulatory framework, constitutional and contractual documents, and performing review and analysis of investment compliance breaches
• Knowledge of the securities and funds industry regulations, particularly in the offshore mutual fund industry, is essential
• Familiarity with the compliance function of a financial services company specializing in UCITS funds services is also required
• Excellent communication skills, both written and verbal, are essential, as well as the ability to plan and organize workload in order to meet deadlines
• Fluent English is a must, and knowledge of French or other European languages would be an advantage.
• Experience with Investment Compliance Monitoring systems such as MIG 21/CRD is a plus.