Job Title: AWM - Operations - Investment Guidelines - Analyst
Duration: 6 months
Location: Dallas, TX, 75201
Summary:
- 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.
- The ideal candidate will be exposed to several 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.
- There will be opportunities to work with our diversified Asset Management portfolio managers, traders, global businesses and technology for execution of projects.
- 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 to shape and implement monitoring related solutions for new clients, products, strategies, and system architecture.
Job Duties:
- Work on a team in Dallas that is responsible for post-trade guidelines exceptions monitoring, resolution, and reporting.
- 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.
- 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.
- 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.
- Contribute to programs that transform exception management systems, processes and workflows.
- Provide monthly reporting of metrics to senior leadership including insightful analysis of the processes.
Skills:
- Bachelor's degree required with around 4 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 work in a global collaborative environment across regions, including Bangalore, Dallas, London, New York, The Hague, and Singapore.
- Strong communication and interpersonal skills, both written and oral.
Preferred Skills:
- Experience working with Sentinel.
Must-Haves:
- Bachelor's degree required.
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Spectraforce Technologies
Jun 12, 2025