Guideline Monitoring Manager - Asset Management - £550 per day

Location: City of London, London
Salary: Negotiable
Posted: 12 days ago
Contract Type: Contract
Industry: Change Management
Contact Name: Simon Waller
Contact Email:

Simon Waller

Associate Consultant

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Guideline Monitoring Manager - Asset Management - £550 per day

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.

Key Responsibilities

  • 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.

Key requirements

  • 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.

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