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Portfolio Guideline Compliance Associate

Salary Competitive
Type Permanent
Location London
Sectors Compliance
Job Reference T3A/JOES/30474
Contact Joe Smith
Date posted 11-12-2018

Our client a Global Investment Management firm in London is looking for a Portfolio Guideline Compliance Associate.
Based in London, the Analyst will play a critical role on the Portfolio Compliance team focusing on the pre and post trade Fixed Income investment process. This individual will work closely with traders, investment professionals, trade support, legal, marketing as well as the rest of the Global Investment Control teams. The successful candidate will:
• Analyse compliance exceptions and coordinate the research and resolution of any issues with trading and investment group professionals.
• Reviews and interprets client rules, guidelines, and regulations to determine how a rule should be coded in the compliance system.
• Evaluate and improve the effectiveness of controls to better align with evolving business needs.
• Draft client communications addressing compliance exceptions and resolutions related to client accounts.
• Investigate account guidelines and related rules to ensure completeness and accuracy of information based on current understanding of client and internal guidelines.
The ideal candidate’s skills will include:
• Minimum of 2 years' financial services experience ideally in compliance/investment operations or a degree in relevant coursework
• Knowledge of securities and the investment business (knowledge of fixed income and derivative products a plus)
• Sound judgment, excellent analytical and problem solving skills
This role will be paying £40,000 to £50,000.
For more information on this role please contact Joe Smith on 02031453376 or email him at

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Contact Joe about this job

AVP, Consultant