Senior Mandate Monitoring Analyst

  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Aviva Investors
  • 08 Dec 17 2017-12-08

The Role You will contribute to the success of Aviva Investors by providing complete, independent and timely pre and/or post trade monitoring of all mandate, prospectus, regulatory and other house restrictions. You will protect the business and clients from the take-on of difficult to monitor and/or non-automated rules. In this role, you will provide insight to the business on causes and actively contribute to the prevention of mandate & other rule breaches.


  • Providing advice to the business on the design of new rules in mandates, setting and communicating the standards required to ensure automation and efficient re-use of existing rules.
  • Maintain the completeness and accuracy of all rules in accordance with mandate / prospectus guidelines and house rules.
  • Regularly confirm that all mandates/prospectuses are in scope.
  • Maintenance of stop lists and other restricted in-house rules on pre trade systems.
  • Advises the business on the effectiveness of processes and leads on changes/new areas.
  • Ensures new/amended mandate rules are in place before effective date.
  • Mandate monitoring team provides timely review of new/amended mandates to GBD/CIO Functions.
  • Operates a zero acceptance of new non-automated rules and maintains evidence of any risk acceptance by Executive members (or their agreed delegate).
  • Actively reduces/maintains the number of existing non-automated rules to within appetite.
  • Provide timely support to the Front Office on queries relating to pre and post trade rules and exceptions.
  • Where processes rely on other teams (such as Investment Risk and Operational Risk Reporting) takes responsibility to ensure these processes are seamless and effective.
  • Identify and manage risks and ensure that controls are designed adequately and are evidenced as operating effectively to meet the standards of independent testing (such as: AAF, Compliance Monitoring/Internal Audit)
  • Ensure processes are documented in accordance with Aviva Investors standards and are assessed in accordance with the RCSA business standard.
  • Ensure new business acquisitions/major transitions/changes are sufficiently planned to be operationally ready prior to effective date.
  • Analyse the cause of mandate/other rule breaches and provide insightful MI to the business.


  • Degree, or able to demonstrate a suitable depth of intellectual rigor and maturity.
  • IMC or equivalent; or recognized historical knowledge, experience and/or qualification.
  • Strong understanding of the investment management process across the full range of asset classes and client types.
  • Strong understanding of compliance monitoring processes including interpretation of discretionary client investment management agreements.
  • Detailed knowledge of UK, Irish and Luxembourg regulation with respect to retail funds.
  • Strong IT literacy as a business user. Experience in BRS Aladdin, JPM TRAC an advantage.
  • Self motivated.
  • Excellent communication skills - verbal & written.
  • Experience to include rule coding and exception monitoring and resolution with investment managers.

About Aviva Investors:

Aviva Investors are proud to be a different kind of asset manager; our intelligent solutions are based entirely around our Clients objectives, not ours. Whether our clients are looking for a standard product or something completely bespoke, they can access world-class expertise. Our aim is to retain business with named clients by providing a high level of service. For today's investor

Diversity and Inclusion:

Bring to Aviva what makes you different and we'll support you to do the best work of your life. We encourage applications from everyone who wants to help us achieve our purpose of helping our customers to defy uncertainty.

You will be assessed against the Aviva values: care more, kill complexity, never rest and create legacy.