Sentinel Specialist/Compliance Analyst

Our client is a leading Asset Management business with substantial operations in London.

They seek a compliance specialist who has considerable exposure to Sentinel to act as a super user for the wider team. They require someone that has both coding and exception monitoring experience on Sentinel so that they can support the monitoring on this platform for Equity and Multi-Asset Funds ahead of an upgrade next year.

Specific responsibilities include:

- Maintain pre and post trade compliance monitoring restrictions and funds on LZ Sentinel, including coding, review and testing for client take-ons, fund launches and IMA amendments.
- Undertake daily exception monitoring pre and post trade on LZ Sentinel and provide support to the Front Office on queries relating to Sentinel rules.
- Undertake daily exception monitoring pre and post trade
- Maintenance of the stop and other restricted list on pre trade systems including LZ Sentinel
- Monitor the Team Mailbox and address role specific or assigned items.
- Assist with the periodic manual monitoring of restrictions not automatically tracked.
- Undertake cross checks between client mandates and compliance system rules.
- Undertake adhoc tasks and reporting activities at the request of the Trade Compliance Manager/Supervisor.
- Assist with other Trade Compliance projects and initiatives

We seek individuals with the following background and experience:

- Solid experience of trade compliance monitoring with an investment management organisation in relation to ensuring compliance to Investment & Borrowing Powers and client mandate restrictions, in particular using LZ Sentinel.
- Strong LZ Sentinel Coding and Exception Monitoring skills
- Good understanding of the investment management process across the full range of asset classes and client types.
- Thorough understanding of compliance monitoring processes including interpretation of discretionary client investment management agreements.
- Sound knowledge of UK, Irish and Luxembourg regulation with respect to retail funds.
- Good organisation and time management skills

Alexander Mann Solutions, a Recruitment Process Outsourcing Company, may in the delivery of some of its services be deemed to operate as an Employment Agency or an Employment Business.