Monitor post-trade compliance, manage guideline exceptions, assess pre-trade compliance failures, and produce monthly management reports in accordance with GMA procedures.
Key responsibilities and accountabilities
Post-trade process:
Pre-trade process:
Process & Systems:
Management Information:
Additional Tasks:
Post-trade process:
- Monitor post trade compliance in Aladdin and SQL based reporting.
- Implement the post-trade breach investigation and reporting process to ensure the efficient and timely resolution of guideline exceptions and operational issues.
- Escalate issues to senior management and relevant third parties as necessary to confirm and resolve real post-trade guideline breaches including provision of all relevant information and documentation to support the investigation.
- Complete entries on Issue Management system. Liaise with Organizational Risk to ensure the affected processes are reviewed and risk controls enhanced as necessary to prevent the incident recurring.
- Daily/monthly review of non-programmable guideline restrictions (Text Rules).
- Prepare and submit Compliance Certification based on requests from Client Services (CSM), Compliance and/or Legal
Pre-trade process:
- Accurate assessment of pre-trade Aladdin Compliance fails to ensure no breaches of client mandated and regulatory rules remain undetected. This will include making appropriate trade related recommendations to various investment teams to facilitate prompt remediation of any inappropriate overrides.
- Appropriate escalation of operational incidents and guideline breaches to senior management and notification to Compliance/Organizational Risk as required.
Process & Systems:
- Ensure the implementation of GMA procedures at all stages of the pre and post-trade process and execute procedures in line with GMTR SOC1 framework.
- Identify and escalate issues with Data Management to confirm proposed orders/portfolio positions.
- Assist with Aladdin enhancement projects, as well as, assess the functional features to ensure they remain relevant for the GMA process.
Management Information:
- Produce monthly management reporting on key GMA statistics.
- Distribute daily incident reports to BAM Compliance and the Trustees for all incidents occurring on Barings funds.
- Ensure submissions on Issues Management system are accurate and complete for breaches and near misses. Facilitate effective dialogue with the Organizational Risk team to analyze issues thoroughly and in a timely fashion.
- Complete daily MI spreadsheet for key GMA tasks and submit to the relevant parties.
- Liaise with Data Management and Market Operations to report all Guideline Monitoring system incidents attributable to data produced or managed by their departments. Ensure they provide a full and relevant explanation of the root cause of the incidents and include this in the GMA monthly Management Report.
Additional Tasks:
- Fulfill additional tasks appropriate to the role and business requirements.
- Participate in projects and initiative in line with team and organization goals.
Top Skills
Aladdin
SQL
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