I have been retained by a top tier asset manager based in the city of London to source a Guideline Monitoring Manager on an initial 6 month contract with the view of extension.
- Providing support to investment teams to ensure investment transactions and holdings are compliant with client guidelines and regulatory requirements.
- Assist in coding and maintaining the guideline monitoring system, performs real-time, pre-trade support with investors, and resolves 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 to have a deep understanding of investment strategies.
- Strong working knowledge of all investment type, including equity, fixed income products and derivative securities.
- Prior experience monitoring investment guidelines, working in an investment compliance role, understanding regulatory requirements for Act and UCITs funds, and coding investment restrictions into a vendor or proprietary compliance monitoring system.
- Attention to detail and computer literacy (knowledge of Word, Excel, and similar tools) are important, as is the desire to learn our guideline compliance monitoring systems.