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Mandate Monitoring Analyst

Date: 10-Nov-2021

Location: London, GB

Company: Royal London Group

Job Title: Mandate Monitoring Analyst

Contract Type: Permanent Contract

Closing date: 7th December 2021

Location: London


Royal London is the largest mutual life insurance, pensions and investment company in the UK.  Since its foundation 160 years ago, Royal London has supported millions of people to protect and provide for themselves and their families.


Our culture is welcoming, friendly, flexible and we aim to make you always feel included. We welcome applications from individuals who have taken an extended career break or those who are transitioning from different sectors.


To support this we are always open to discussing flexible working arrangements and as we transition to hybrid working we will discuss working patterns or locations that ensure you have the freedom to be your best. It’s what makes Royal London a great place to work.


We believe that being together some of the time will help our colleagues to feel truly connected to our Spirit of Royal London culture. Many of us value the passing conversations, social interactions and building relationships that comes from being together in the office.


Royal London Asset Management (RLAM) was established in 1988 and is a wholly owned and central part of the Royal London Group. Since our inception we have built a reputation as an innovative, high performing fund manager. Our track record and exceptional client service have been recognised with a number of awards. We are proud of the people we employ, the performance we have delivered and the wide-ranging group of clients we manage. 


Role purpose

We are currently looking to recruit a Mandate Monitoring Analyst to join our team on a permanent basis in London. The main purpose of the role is to interpret, input and monitor rules and guidelines for investment mandates (to include UCITS, AIFMD and MMF rules within ThinkFolio and Murex and providing mandate monitoring consultancy to key business stakeholders across RLAM


Key responsibilities

  • Interpretation, coding, and quality control of investment guidelines and regulatory investment powers and borrowing rules and restrictions (UCITS/NURS/AIFMD etc.) within the Order Management Systems (Thinkfolio and Murex)
  • Implement off system rule monitoring models where automated system monitoring is not possible
  • Support the negotiation of guidelines with the relevant internal Teams and External Parties
  • Escalate rule and system issues and work with the internal teams to resolve issues, enhance processes and implement complex rules
  • Respond to breach queries from internal Investment teams and/or External third parties (Trustee/Clients etc.)
  • Review and resolve pre & post trade violations and complete daily reporting
  • Produce Daily Monitoring and follow up with operational and the investment teams with any outstanding and/or new issues for resolution or validation
  • Follow up on Investment breaches/errors in line with the relevant escalation and risk management policies.
  • Regulatory disclosures and Sanction monitoring/screening
  • Manage and maintain daily administrative team responsibilities and checklists.


Essential Criteria

  • Good background within a Mandate Monitoring/Investment compliance role
  • Highly IT literate with MS Office Suite
  • Knowledge of Financial Markets, Instruments and Products.
  • Understanding of fund documentation e.g. IMA and prospectus
  • Understanding of regulatory rulebook e.g. COLL, UCITS
  • Excellent Communication skills, both verbally and written
  • Comfortable working within a team environment and independently


Desirable Criteria

  • Thinkfolio or equivalent Front Office system experience would be highly desirable


What we offer

  • We've always been proud to reward employees by offering a number of benefits such as Pensions and Protection, Performance and role-related benefits, Lifestyle and Wellbeing 
  • Our culture comes from within, or to put it another way, it comes from our people. It’s what makes Royal London a great place to work.
  • Our People Promise is something we live up to every day. We know we can rely on you, and you can expect plenty from us in return.
  • Glassdoor have again ranked as among the best places to work in the UK 


We are an equal opportunities employer. We work hard to attract the best talent for our award-winning team. We believe that embracing difference makes us stronger. Our diverse people bring us different skills – whatever their educational background, disability, gender, age, sexual orientation, race, religion or belief.


In fact, the first pillar of our People Promise is designed to make sure you 'work somewhere inclusive'. We want to live up to this promise; it’s good for our people and good for our customers too, because our workforce should reflect our communities.

Job Segment: Risk Management, Finance