Insight Investment

Compliance

• Providing compliance advice and oversight in relation to fund level regulatory requirements, including AIFMD, UCITS, MMFR, SFDR, and related Central Bank of Ireland obligations.
• Advising on and coordinating responses to regulatory enquiries, inspections, thematic reviews, and information requests relating to fund compliance matters.
• Providing compliance advice and supporting new product launches and changes to existing products.
• Assessing and advising on investment eligibility requests from delegated portfolio managers, including interpretation of fund documentation, regulatory constraints, and investment restrictions, and providing clear compliance guidance to support informed investment decisions.
• Managing day to day regulatory engagement with the Central Bank of Ireland on fund related matters, under the oversight of the relevant Designated Persons.
• Acting as a point of contact for the business on fund related regulatory and compliance matters, providing timely and pragmatic advice.
• Advising on regulatory change impacting funds, including leading or contributing to impact assessments and supporting the embedding of new or amended regulatory requirements into business processes.

Fund Compliance Manager

• Regulatory Risk Assessment: Continuously review and enhance Insight’s systems and controls to mitigate regulatory risks, coordinating with key outsourcers/vendors as needed.
• Compliance Manual/Policies/Procedures: Maintain and update the Compliance manual and related documents to ensure relevance, alignment with BNY policies, and accessibility on the intranet.
• Advice: Provide proactive guidance, training, and timely responses to regulatory queries for the business and new joiners.
• Regulatory Change/Guidance: Monitor and assess new or amended regulatory requirements, collaborate with business areas on governance updates, and identify lessons from enforcement cases to strengthen controls.
• Financial Promotions: Develop and oversee marketing compliance frameworks, review advertising materials for regulatory adherence, and offer related advice consistent with Insight and BNY standards.
• Client liaison – respond to DDQ and RFP requests (Compliance specific questions), represent compliance at client meetings
• Costs and Charges/Client Reporting – provide advice to the business on regulatory requirements
• Operational Resilience – provide advice and guidance as needed
• CASS – provide advice to the business on regulatory requirements, breach analysis
• Outsourcing/Vendor Management – provide advice and guidance to the business on regulatory requirements.
• General Advisory Compliance – work with the wider team to provide advice and guidance to the businesses on a variety of regulatory themes.
• Contribute to committee reporting and the compliance dashboard.
• Support committee/board reporting across advisory and core activities.
• Deliver training and attend client/committee/board/external meetings as required.
• Maintain relevant CPD to remain effective in the assignment (e.g. keeping up to date with regulatory developments, attending relevant internal briefings/training where applicable)
• Support FCA surveys/visits/reviews

Compliance Advisory Manager – Contract

Financial Planning and Analysis

• Build an understanding of Insight’s investment strategies and solutions, and how these can be adapted to meet the needs of different clients.
• Work with clients and consultants to develop tailored investment solutions, with opportunities to take a leading role over time.
• Participate in client meetings alongside client directors, contributing to discussions and representing the solutions team.
• Support the presentation of Insight’s strategies and capabilities in consultant research meetings.
• Contribute to new business proposals and pitches, particularly the design of investment solutions.
• Support client directors in responding to client queries and day-to-day requests.
• Collaborate with quantitative analysts to model liabilities and help design liability hedging and asset protection strategies.
• Work with portfolio managers to develop and implement portfolio strategies, including supporting transitions and refining client solutions.
• Contribute to team-wide initiatives, including strategic projects, business planning, and the development of new investment strategies.

Solution Investment Specialist

Business Analyst

• Build a detailed knowledge of Charles River (CRD), understanding the various risk limits and the coding capabilities
• Ensure all new mandates/amendments are coded into systems within the agreed timeframes with a high level of accuracy
• Work closely with the Fund Managers and Client Directors to ensure that coding has been accurately interpreted and signed off within the appropriate timeframe
• Ensure client guideline queries from across the business are answered in a timely and accurate manner
• Complete post trade monitoring of incidents generated by the compliance systems, ensuring incidents are proactively escalated and recorded in the relevant systems
• Complete monthly and quarterly compliance attestations within the required deadlines
• Support the fund managers with ad-hoc queries related to pre-trade warnings generated by the compliance systems
• Continuously engage with IT to evolve systems and assisting in Guideline related projects.
• Assist the Guideline Monitoring Manager in the build out of the offshore Team in Pune
• Work closely with Fund Management and the Client Services team in the review of guidelines – ensuring that amendments can be coded into the compliance systems and standardizing the format of guidelines across the U.S. business
• Liaise with various internal parties (Fund Managers, Legal, Compliance, Risk, Client Directors, Traders) on Guideline Management team projects – ensuring deadlines are met
• Proactively devise ways to reduce operational risk to the business and to increase the efficiency of processes

Guideline Management Analyst

Client Services Representative

• Project manage complex account onboardings, client change activities and offboarding’s with the client and Insight teams to meet client timelines and expectations.
• Provide day to day service for a designated client base including but not limited to processing cashflows, account changes, custodial changes, new instrument setups and client communications.
• Act as point of contact for clients on all account related matters and coordinate internally on required responses and resolutions.
• Coordinate and complete ad hoc reporting, periodic client & consultant due diligence questionnaires and annual audits in line with required deadlines.
• Complete ongoing KYC/AML reviews.
• Participant in and/or lead Insight committee & ad hoc meetings.
• Populate Insight’s CRM system, Salesforce, with client information at onboarding and continue to maintain & update account records during the Lifecyle of the client.
• File and organize client documentation into Insight central folders.
• Assist with client meeting preparation and attend meetings as required.
• Implement work in line with agreed team procedures and proactively make suggestions for enhancements and improvements.
• Demonstrate risk awareness and focus on delivering an appropriate control framework around client servicing.
• Develop detailed knowledge of the clients and the environment in which we provide solutions.
• Manage ad hoc projects which may require coordinating with other areas of the firm.

Client Service Specialist

Operations

• Oversight of our two outsourced back-office providers to ensure timely and accurate service that adheres to or exceeds our agreed service level provisions. This includes both formal, recurring checkpoint meetings and informal daily interactions
• Daily review of front office system reconciliations and work with our two outsourced back offices and trading desk to rectify outstanding issues
• Rectify outstanding asset setup issues and corporate actions
• Follow up on trade breaks, overdrafts, and other cash related issues
• Review, identify and enhance process controls
• Work with IT regarding trade data quality, efficiency of processes, electronic trading system connectivity
• Post and approve client cash activity
• Daily and Monthly price valuation
• Implementing the procedures and activities required for closing loan
• Review and approve leveraged loan trade details and work with loans team in rectifying any trade related details
• Work independently on ad hoc and project request
• Work with London Market Operations Team in aligning procedures and oversight methodology. Monitor account on boarding and transition activities and resolve any related issues
• Participate in weekly service meetings to discuss business activity, open issues and outline steps to resolve any outstanding items

Market Operations Analyst

• Project manage account onboardings, client change activities and offboarding’s with the client and Insight teams to meet client timelines and expectations.
• Provide day to day service for a designated client base including but not limited to processing cashflows, account changes, custodial changes, new instrument setups and client communications.
• Act as point of contact for clients on all account related matters and coordinate internally on required responses and resolutions.
• Coordinate and complete ad hoc reporting, periodic client & consultant due diligence questionnaires and annual audits in line with required deadlines.
• Complete ongoing KYC/AML reviews.
• Participant in and/or lead Insight committee & ad hoc meetings.
• Populate Insight’s CRM system, Salesforce, with client information at onboarding and continue to maintain & update account records during the Lifecyle of the client.
• File and organize client documentation into Insight central folders.
• Assist with client meeting preparation and attend meetings as required.
• Implement work in line with agreed team procedures and proactively make suggestions for enhancements and improvements.
• Demonstrate risk awareness and focus on delivering an appropriate control framework around client servicing.
• Develop detailed knowledge of the clients and the environment in which we provide solutions.
• Manage ad hoc projects which may require coordinating with other areas of the firm.

Client Service Associate

Research Analyst

• Communicate with the investment team to determine relative value, as well as communicate current views.
• Collaborate with the team to develop, articulate and implement strategic and tactical recommendations.
• Publish research papers for both internal and external use.
• Participate in presentations to clients and investment consultants.