Depositary Oversight, Officer
Core
Managing an investment monitoring team to review fund types and ensure compliance with investment restrictions, including sophisticated derivatives.
Role type
Senior IC depositary oversight officer
Builds
Compliance monitoring for funds and derivatives
Domain
Asset management / Funds / Derivatives
Required skills
Investment monitoring, regulatory compliance (UCITS/Non-UCITS), team supervision, policy formulation, prospectus review, breach rectification, client query response, system testing, work program scheduling
Preferred skills
Structured products experience, derivatives knowledge, investment monitoring systems familiarity, UCITS/Non-UCITS regulatory framework understanding
Technologies
Investment monitoring systems
Responsibilities
Manage investment monitoring team members reviewing all fund types for compliance with investment restrictions; ensure timely completion of team tasks; review and comment on draft prospectuses and financial statements; appraise team member performance; devise work programs and schedules; select potential team members; ensure breaches are rectified; respond to client queries; test compliance monitoring systems; attend board meetings; create and update depositary policies and procedures