Find a Job

View detailed job description

Senior Investment Compliance Associate

Apply
Salary Competitive
Type Permanent
Location London
Sectors Compliance
Operations
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

Ready to apply for this job? Apply Now

Contact Joe about this job

AVP, Consultant