Job Description: Your role
* Onboarding and maintenance of all accounts into Sentinel, performing detailed analysis of investment guidelines and seeking guidance from the business where necessary
* Perform four eye check of all account coding
* Investigation of pre-trade alerts and resolution of all front office queries
* Execution of Quarterly Fit for Purpose checks
* Liaise with IGM Stakeholders including Portfolio Managers, Client Relationship Managers, Internal and External Audit, Compliance, Risk and IT teams.
* Escalation and resolution of all breaches
* Provide support to off shore team
* Participate in migration of all accounts from Sentinel to Longview
Investment guideline monitoring (IGM) has a mission to provide a global investment guideline program. Leveraging our local operating models we provide a timely on boarding of accounts, accurate investment coding , ongoing maintenance of investment guidelines and monitoring of alerts of the system. Automated investment guideline restriction is provided by a 3rd party application called Sentinel.
The team load and maintain all investment guidelines driven by the client, fund or relevant regulatory scheme This involves closely working with all areas of the business and colleagues on a global basis, especially Portfolio Managers, Client Relationship Managers, Product Managers, Operations and Data, Information Technology, Compliance and Operational Risk Management and Control.
* At least 3 years of experience in an Investment Guideline Monitoring/ Investment Compliance
* Experience on automated investment restrictions systems such as Sentinel, Charles River, MIG21 desirable
* An understanding of financial instruments and their attributes.
* The ability to work under pressure as part of a global team.
* Exceptional interpersonal skills and have confidence to communicate with people at all levels
* An analytical and detail-oriented approach and the ability to provide practical solutions.
* Fluent in English; German and/or French would be nice to have
* A self-starter, self-motivated with the capabilities for accuracy and attention to detail
* Willing to take on responsibility
Harvey Nash AG
James A. St. Robert
+41 44 296 8833