Senior Specialist | Institutional Operations | Investment Guidelines at Allan Gray Proprietary Limited

Department Description

The Investment Guidelines team is part of Allan Gray’s Institutional Operations function and is accountable for first-line global investment compliance and monitoring. The team is responsible for identifying, analysing, and managing investment risk across group-wide client portfolios and investments, and provides compliance guidance and support to Allan Gray’s investment related functions, including Portfolio Managers and Traders. To achieve this, the team is responsible for operationalising Allan Gray’s automated pre- and post-trade controls, including coding mandate and regulatory portfolio restrictions and investment guidelines in Allan Gray’s compliance monitoring system (Charles River IMS) and performing End of Day (“EOD”) post-trade portfolio compliance monitoring for all Allan Gray managed funds globally. The team further reviews and monitors the operational and investment related activities across Institutional Operations.

Job Responsibilities

• Ensure that all applicable regulatory and/or mandate restrictions and guidelines, applicable to various Allan Gray managed portfolios, are accurately set-up in Charles River IMS.
• Ensure the accuracy of security classifications in Charles River IMS, considering the downstream impact of all users of these classifications. Drive consistency (where possible) to ensure reporting ties up when it needs to.
• Support the Manager of Investment Guidelines with the launch of complex products and investment mandates by advising on the suitability of investment restrictions and guidelines in view of Allan Gray internal compliance systems and risk assessment framework.
• Conduct compliance monitoring including aggregate ownership monitoring, rules advice, and other investment compliance related matters 
• Identify, track, document, resolve and report on compliance breaches in-line with internal policy and regulatory requirements.
• Advise business on investment eligibility and applicable restrictions
• Develop and maintain effective working relationships with other functional areas for timely receipt of information required for the completion of tasks.
• Provide high-quality timely service to internal and external customers.

Experience And Qualifications Required

• Knowledge and experience in portfolio compliance monitoring and rule coding using Charles River (or similar) systems.
• 5 years+ experience in working in the investment management industry.
• Good understanding of portfolio monitoring processes, including the interpretation of client investment management agreements.
• Strong instrument knowledge of equities, fixed income and derivatives.
• Strong working knowledge of regulatory requirements applicable to asset managers and funds domiciled and traded in your primary fund coverage area.
• Business-level verbal and written English communication / presentation skills.
• Experience preparing concise management reporting materials based on key compliance data and metrics.
• Positive team player as well as the ability to work on their own initiative.
• Strong analytical skills, problem-solving ability and attention to detail.
• Investigative and questioning nature with the ability to effectively challenge within the team and with other functions.
• Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes.

Excellent inter-personal skills.

• Ability to make decisions that are reasonable and logical.
• Working Relationships
• Portfolio Managers and Traders
• Legal & Compliance teams
• Front Office Support
• Investment Accounting & Data Management
• Reporting teams