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Manager – Investment Oversight – Funds – Collective Investments - PE/2779

£60,000 p/a
Start date:


Investment Oversight Manager required on a permanent basis for my London based financial services client. The successful candidate must experience of working in an asset manager or unit trust manager, where core responsibilities have been around investment oversight or investment operations.

The role
The main purpose of the role is help the team deliver an effective Investment Manager (fund) Oversight programme of the clients fund hosting operation. This also includes preparing information and updating team folders for internal meetings and internal committee meetings.

You will also carry out due diligence of potential investment managers and other relevant suppliers as per Service Level Agreements being delivered.

The role also covers the oversight of existing and potential investments held by delegated investment managers, the management of external monitoring requirements of trustees/depositaries, fund auditors, internal audit and the regulator, and facilitation of review, reporting and escalation requirements of the company’s Investment Oversight Committee.

Job Responsibilities
** Manage, maintain and deliver the Investment Managers Oversight Programme;
** Develop and maintain close working relationships with delegated investment managers;
** Visit, review and report on the business and processes of the delegated investment managers;
** Ensure that funds comply with the investment limits of the regulations and the schemes’ documentation facilitated by a robust investment and borrowing powers monitoring system;
** Liaise with investment managers over any breaches that occur in the funds, in order to reduce the number and re-occurrence of breaches; ensure that all breaches are accurately recorded on the Incident Register and appropriate documentation is produced and forwarded to the depositaries;
** Assist investment managers in assessment of eligibility of unregulated assets prior to investment;
** Ensure funds only invest in eligible markets where appropriate due diligence has been carried out;
** Deal with routine and ad hoc queries from clients, investment managers, depositaries and other third parties;
** Compile management information for the Investment Oversight Committee;
** Liaise with appropriate firms who support the Investment Oversight team: e.g. custodians, fund accountants, fund auditors and lawyers;
** Keep abreast of regulatory change.

Essential Skills
** Respect the approach to client care and demonstrate due regard to the interests of the clients in any and all third party dealings;
** Ideally degree educated with further professional qualifications (e.g. IOC, IMC) an advantage;
** Knowledge and experience of Collective Investment Schemes (UCITS, NURS etc);
** Excellent knowledge of the UK regulatory environment and rules prescribed in the FCA Handbook, in particular the COLL, FUND, COBS and SYSC sourcebooks;
** Good IT skills – intermediate Excel, Word, PowerPoint, Outlook;
** A minimum of two years’ experience of working in an asset manager or unit trust manager, where core responsibilities have been around investment oversight or investment operations.

Please note your CV will not be submitted for this or any other role without your prior approval.
SQ Computer Personnel Limited acts as both an Employment Agency and Employment Business.
Peter Springett
Contact Email:
020 8463 0555

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