Analyst, Investment Management Oversight


Role: Analyst, Investment Management Oversight
Location: 140 London Wall, 6th Floor, London EC2Y 5DN, United Kingdom

Department: Investment Management Oversight

Purpose of the Role:

Analyst – Investment Management Oversight, you will assist in the management and delivery of an effective Investment Management and Distribution Oversight programmes of FundRock Partners’ fund hosting operation.

The role also covers assisting in 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 as directed.

Key Responsibilities:

  • Manage, maintain and deliver the Fund Performance analysis and reporting of all FundRock Partners’ Funds (to include an in depth performance and ratio analysis on a selected group of funds on a monthly basis, for the Investment Oversight Committee (‘IOC’) and Product Governance Committee (‘PGC’);
  • Monitor the Funds’ Environmental, Social and Governance (‘ESG’) criteria and their compliance to any ESG strategy and Sustainability guidance in the Prospectuses, and report these to the relevant committees on a monthly basis;
  • Develop and maintain close working relationships with delegated investment managers;
  • Liaise with investment managers over any breaches that occur in the funds, in order to reduce the number and re-occurrence of breaches, specifically those concerning late reported trades; ensure that all breaches are accurately recorded on the Incident Register and appropriate documentation is produced and forwarded to the depositaries;
  • Ensure that funds comply with the investment strategies in accordance the schemes’ documentation;
  • Carry out due diligence on market eligibility and ensure funds only invest in eligible markets where appropriate due diligence has been carried out;
  • Interrogate and validate any data, research and analytical information relied upon for ESG ratings for the Funds;
  • Monitor Funds’ prospectus and investment objectives;
  • Ensure Quarterly Certification on ESG is adhered to by delegated investment managers;
  • Deal with routine and ad hoc queries from Fund sponsors, investment managers, depositaries and other third parties;
  • Compile management information for the Investment Oversight Committee and other governance committees as directed;
  • Liaise with appropriate firms who support the team: g. custodians, fund accountants, fund auditors and lawyers, as directed;
  • Assist with Fund support documentation such as Market openings, proxy voting and Powers of Attorney where needed;
  • Assist when needed and as directed with others within the Investment Management Oversight teams.
  • Ensuring the day-to-day reporting and exception management processes are completed
  • Escalation and resolution of issues
  • Sample checking and challenging of transaction reporting processes and running regular reconciliations, working closely with our IT and external providers to close any exceptions
  • DTCC Monitoring and European market infrastructure regulation (‘EMIR’) reporting
  • Taskforce on Climate-related Financial Disclosures (‘TCFD’) Reporting
  • Securities Financing Transaction Regulation (‘SFTR’)
  • Keep abreast of regulatory change.
  • Complete any other appropriate ad hoc tasks as directed.


The aim of the job description is to indicate the general purpose and level of responsibility of the role. Please be aware that duties may vary from time to time without changing their character or general level of responsibility. Duties may be subject to periodic review by Senior Management (in consultation with the employee) to reflect the changing needs of the company.   

The above list of duties is not exclusive or exhaustive and the employee will be required to undertake such tasks as may reasonably be expected and at the discretion of the company.

Key Attributes and Qualifications:

  • Demonstrate good communication skills, both written and oral and be able to converse with personnel at all levels of investment management firms;
  • Regulatory Reporting BAU Operations experience and awareness of the following regulations is desirable (RTS 22 Transaction Reporting, RTS 2 Trade Reporting, EMIR and SFTR Reporting)
  • Experience in MiFID 2 Transaction Reporting, RTS 2 Trade Reporting, EMIR and SFTR reporting is desirable
  • Experience with UnaVista, DTCC or TradeEcho is desirable
  • Good knowledge and experience of sustainable/ ESG investing and investment research a must;
  • Independent thinking to find efficient and innovative ways to solve problems;
  • Meticulous attention to detail;
  • Ability to function in a dynamic and ever-changing environment;
  • Strong multi-tasking abilities; able to juggle conflicting priorities;
  • Have a proven hands-on attitude, be flexible and adaptable;
  • Observation of proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties;
  • Respect the FundRock Partners’ 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;
  • 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 three years’ experience of working in financial services.


We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR) please visit our CSR policy page.

If you are looking to take that next step in your career and are ready to work for a high performing organisation, alongside talented people who take pride in delivering great results, please submit your application (with your CV, cover letter and salary’s expectations) to our dedicated email address:


Posting date: 11/08/22
PID: 11873

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