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Senior Investment Compliance Associate

Salary Competitive
Type Permanent
Location London
Sectors Compliance
Job Reference T3A/JOES/30846
Contact Joe Smith
Date posted 11-02-2019

Our client, a leading Investment Management firm in London is currently looking for a Portfolio Guideline Monitoring Senior Associate to join their Guideline Monitoring Team.
As the Portfolio Guideline Monitoring Analyst your main duties will include:
• Providing support to investment teams to ensure investment transactions and holdings are compliance with client guidelines and regulatory requirements.
• Implement coding and maintain the guideline monitoring system
• Perform pre-trade support with investors and resolve post- trade incident exceptions generated from Sentinel.
• Work collaboratively with other Guideline Monitoring analysts as well as other internal teams, specifically Product Management and Portfolio Management Teams
• Direct oversight and support of at least one Analyst within the team
The successful candidate will have:
• An advanced working knowledge of all investment type, including equity, fixed income products and derivative securities.
• Significant experience monitoring investment guidelines, working in an investment compliance role, understanding regulatory requirements for 40 Act and UCITs funds, and coding investment restrictions into a vendor or proprietary compliance monitoring system, specifically Charles River is a plus.
• Strong organisational skills
• Attention to detail and computer literacy (knowledge of Word, Excel, and similar tools) are important, as is the desire to learn the guideline compliance monitoring systems

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Contact Joe about this job

AVP, Consultant