Guideline Monitoring Senior Associate / Associate Director
Salary: Competitive and based on experience
Location: London
Keywords: Guideline Monitoring, Compliance, Asset Management, Investment Guidelines, Regulatory Requirements
Our client is seeking a diligent and dedicated Guideline Monitoring Senior Associate and Associate Director to join their dynamic team in London. This role offers an exciting opportunity to contribute to the maintenance and development of a comprehensive, enterprise-wide investment guideline monitoring program. The successful candidate will be rewarded for their personal and professional integrity, communication skills, distinct competencies and expertise in specific strategies, ability to collaborate as a team member and true dedication to the interests of their clients.
* Opportunity to work in a dynamic team in London
* Rewarding role for those with personal and professional integrity
* Chance to contribute to a comprehensive investment guideline monitoring program
What you'll do:
As a Guideline Monitoring Senior Associate, your role will be pivotal in assisting the maintenance and development of an enterprise-wide investment guideline monitoring program. You will be responsible for assessing the firm's guideline monitoring risks and identifying breaches to prescribed policies. Your day-to-day tasks will involve using policies, procedures, and manual and automated systems to mitigate these risks and comply with stated client investment restrictions, product mandates, and regulatory thresholds. This is a highly visible position within the organisation, often interacting with members of Portfolio Management, Trading, Legal, Compliance, Risk, and Client Services teams.
- Monitor investment guidelines on a pre and post-trade basis in Aladdin and internal systems.
- Escalate potential breaches of regulatory and client investment restrictions promptly.
- Provide guidance to business units on relevant investment compliance issues.
- Resolve or recommend solutions to investment guideline compliance related issues.
- Assist with ad-hoc investment guideline coding amendments.
- Participate in regulatory examinations and other internal audits.
- Participate in other department or corporate projects as requested.
What you bring:
The ideal candidate for the Guideline Monitoring Senior Associate role brings a wealth of asset management experience along with proven expertise in guideline management. You have an understanding of both EU and US regulations which you can apply effectively in your role. Your strong interpersonal skills make you an effective team player who can also excel independently when required. Your organisational and analytical skills are top-notch, enabling you to handle high volumes of work under tight deadlines without compromising on accuracy. Your ability to comprehend highly technical regulatory requirements sets you apart, and your knowledge of order generation and dealing process/risk control is a valuable asset.
- Minimum of 5 years' asset management experience [Compliance or Middle Office PM assistants].
- Minimum 2-3 years' guideline management experience.
- Understanding of EU Regulation particularly UCITS & AIFMD in addition to US regulations.
- Effective team player with strong interpersonal skills; possess very strong organisational and analytical skills; must be very detail oriented.
- Ability to handle high volumes of work under tight deadlines while maintaining accuracy and minimising risk.
- Strong ability to comprehend highly technical regulatory requirements.
- Good working knowledge of order generation and dealing process/risk control.
What sets this company apart:
Our client is as invested in their associates as they are in their clients. They recognise those who work diligently for them and reward them for personal and professional integrity, communication skills, distinct competencies and expertise in specific strategies, ability to collaborate as a team member and true dedication to the interests of their clients. They offer an inclusive and supportive environment where every individual's contribution is valued.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
