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Title: Senior Surveillance Office - Investment Control Location: London Reports to: Head of Investment Control
Company Overview: Newton Investment Management is one of BNY Mellon Investment Management's specialists, and they are a London-based global investment house with expertise in a range of disciplines, including global, regional and emerging-market equities, multi-asset strategies, absolute return investing and global bonds. A global, thematic approach to investment helps them achieve long-term perspective on global financial markets and economies, and identify areas of long-term risk and opportunity. Their belief is that responsible investment is better investment for clients and they consider ESG (environmental, social and governance) issues in relation to every company in which they invest. Newton is part of BNY Mellon Investment Management, one of the world's largest investment managers.
What's on Offer? Newton is a professional, friendly and collegiate place to work offer a number of benefits like a 12% pension contribution, flexible working hours and opportunities to progress. The firm looks to attract individuals who are keen to work as part of a team, in a meritocratic environment, and who are driven to help make the organisation a great place to work. Newton employees are bright, inquisitive, thoughtful and collaborative. They are highly motivated to deliver performance and service to clients. Newton prides itself on being an employer of choice, with a commitment to diversity.
BNY Mellon Investment Management: At BNY Mellon Investment Management, we believe the right results begin with being relevant to every client, whether it is engaging with them to create solutions, offering diversified strategies or providing insights for better-informed decisions.
That is why we designed a model built around investors' needs to offer the best of both worlds: world-class investment firms with best-of-breed talent and unique cultures combined with the global scale and strength of BNY Mellon Investment Management. We connect investors with opportunities across every major asset class, globally. Today, we have eight investment firms, one of which is Newton Investment Management.
We believe this is how investing should be and we are looking for talent to help us deliver on our promise.
Job Purpose: To provide oversight and surveillance of Newton's investment related activities
Key Responsibilities: The successful candidate would:
Providing leadership in the area of front office surveillance and oversight including keeping up to date with regulatory changes and industry best practice.
Conduct, oversee and analyse periodic reviews of the investment process as required, including but not limited to; order execution, potential market abuse, trade aggregation and allocation and e-mail communications
Provide data, reports, analysis and management information to senior management/committees/groups/sub-groups in the governance structure as required.
Write, disseminate own relevant procedure documents for surveillance related tasks as well as house and team documentation as required
Provide support to the Head of Investment Control as required
Our expectation is that people will bring:
Efficient Decision Making
Experience and qualifications required:
Ideally degree level qualification
Industry compliance qualifications
Experience of transaction surveillance processes
Excellent knowledge of global compliance requirements relating to asset management sector
Experience in providing reporting to committees and senior management
A good knowledge of asset management, particularly of portfolio management, equity, fixed income, derivatives and FX broking / trading activities
A proven track record, gained within a comparable organisation, in a similar role implementing and executing a surveillance process perhaps from working in a control or compliance team
The ability to understand and interpret local regulatory requirements,
Knowledge of the common market tools associated with transaction surveillance
Key Competencies and skills:
Strong analytical skills, detail focussed
Ability to influence across peer groups
Ability to think pragmatically and proactively suggest solutions
Team player and flexible in a fast paced environment
Strong relationship management skills
Articulate and able to represent Investment Control to senior business personnel effectively
BNY Mellon is an Equal Employment Opportunity Employer. Our ambition is to build the best global team - one that is representative and inclusive of the diverse talent, clients and communities we work with and serve - and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
BNY Mellon is an Equal Employment Opportunity Employer.