Asset Management-Dallas-Vice President-Investment Guidelines

ASSET MANAGEMENT

Bringing together traditional and alternative investments, we provide clients around the world with a dedicated partnership and focus on long-term performance. As the firm’s primary investment area, we provide investment and advisory services for some of the world’s leading pension plans, sovereign wealth funds, insurance companies, endowments, foundations, financial advisors and individuals, for which we oversee more than $2.8 trillion in assets under supervision. Working in a culture that values integrity and transparency, you will be part of a diverse team that is passionate about our craft, our clients, and building sustainable success. We are:

•    Investors, spanning traditional and alternative markets offering products and services 
•    Advisors, understanding our clients’ priorities and poised to help provide investment advice and strategies that make sense for their portfolios 
•    Thought Leaders, providing timely insights across macro and secular themes to help inform our clients’ investment decisions 
•    Innovators, using our suite of digital solutions to help our clients address complex challenges and meet their financial goals

OPERATIONS

Operations is a dynamic, multi-faceted function that partners with all parts of the firm to provide banking, securities, and asset management services to clients around the world. In addition, Operations provides essential risk management and controls to preserve and enhance the firm's assets and its reputation. For every new product launched and every trade executed, it is Operations that develops and manages the processes and controls that enable business flow.

YOUR IMPACT

Our Investment Guidelines team is seeking a thought leader with a risk mindset and can manage a team that executes complex post-trade surveillance processes. The Vice President will be responsible for overseeing daily monitoring on some of the business strategies we support to ensure portfolio compliance with client and regulatory guidelines. The ideal candidate will be exposed to a number of different strategies including fixed income, quantitative equity, fundamental equity and external investments, across a multitude of financial instruments. The candidate will be expected to learn quickly, add value in clearing any guideline breaches with the various stakeholders and be able to advise team members. The candidate will also partner with our diversified Asset Management portfolio managers, traders, global businesses and technology to define compliance solutions, and lead change across the operational infrastructure.

OUR IMPACT

The Investment Guidelines team sits within Investment operations which has primary responsibility of coding investment guidelines into compliance monitoring systems and providing pre-trade & post-trade oversight . These functions cover a wide range of clients and a complex product range, which include equities, fixed income, currency and derivatives. This involves extensive interaction with traders, portfolio managers and client relationship managers to ensure effective oversight for existing business and also to shape and implement monitoring related solutions for new clients, products, strategies, and system architecture.

JOB SUMMARY AND RESPONSBILITIES

•    Manage a team in Dallas that is responsible for post-trade guidelines exceptions monitoring, resolution and reporting
•    Partner with the AWM business for investment guideline related issues covering a range of client accounts and funds with the shared goal of risk mitigation
•    Perform daily portfolio and trading surveillance to ensure that AWM meets client stipulated guidelines and applicable regulations across all types of financial instruments and portfolio management strategies 
•    Connect daily with the traders, portfolio managers, compliance and other internal functional areas of AWM in order to resolve client and regulatory investment guideline breaches. 
•    Conduct independent review of the rules created by the coding resources of the team
•    Provide monthly,quarterly and annual certifications of investment guidelines compliance to clients
•    Run programs that transform exception management systems, processes and workflows 
•    Provide monthly reporting of metrics to senior leadership including insightful analysis of the processes

BASIC QUALIFICATIONS

•    Bachelor’s degree required with around 8 years of professional experience in the financial services industry 
•    Knowledge of operational aspects of an industry leading guideline monitoring platform like Sentinel, Aladdin, Charles River etc or related investment processes like trade management or liquidity management
•    Understanding of Equity, Fixed Income, Currencies and Derivatives
•    Ability to manage a team and to work in a global collaborative environment acr