Investment Compliance, Senior Analyst

Senior Analyst, Investment Compliance opportunity in London, with a strong focus on Charles River (CRD) rule building and configuration. The firm is open to both permanent (£90,000 - £95,000 salary) and interim appointments, with a preference for interim candidates on either a day-rate or FTC basis for an initial 6 months. The interim budget is flexible and could be higher for the right candidate. The role requires four days a week in the London office

Overview

A leading global investment management firm is seeking a Senior Analyst to join its Investment Compliance team in London. The role has a strong focus on building, configuring and optimising investment compliance rules within Charles River Development (CRD).

Working closely with investment, legal, client service and operations teams, the successful candidate will translate client and regulatory guidelines into effective system controls, support compliance monitoring and contribute to process improvements and automation initiatives.

The firm is open to permanent and interim appointments, with a preference for an interim hire on a day-rate or FTC basis for an initial 6 months.

Key Responsibilities

• Build, configure and implement investment compliance rules within Charles River, translating client, regulatory and portfolio guidelines into system restrictions.
• Assess guideline requirements, system capabilities and data availability to determine appropriate coding solutions.
• Test and validate new and amended rules to ensure accurate and effective monitoring.
• Support pre-trade, post-trade, batch and manual compliance monitoring, including alert investigation, exception resolution and escalation.
• Review rule performance and alert trends, identifying opportunities to optimise the rule library and reduce false positives.
• Assess the impact of regulatory changes, new investment strategies, products and derivatives on compliance monitoring.
• Identify opportunities to improve processes through automation, AI-enabled tools and enhanced system functionality.
• Collaborate with investment, legal, operations and client service teams, while contributing to projects and maintaining clear procedures and documentation.

Essential Experience

• Hands-on experience with Charles River (CRD), particularly investment compliance rule building and configuration.
• Background in investment compliance, portfolio compliance or a related investment control function.
• Experience translating investment guidelines into system-based restrictions and monitoring rules.
• Understanding of pre- and post-trade compliance monitoring, testing and alert investigation.
• Knowledge of investment products, including equities, fixed income and derivatives.
• Strong analytical skills, attention to detail and stakeholder management capabilities.

Desirable Experience

• Exposure to Aladdin or other investment compliance, trading, IBOR or order management systems.
• Knowledge of UCITS, AIFMD and relevant EMEA regulatory frameworks.
• Experience with automation, AI-enabled tools, data-driven monitoring or rule optimisation.
• Experience assessing regulatory and investment strategy changes and implementing improvements to compliance controls.

Package and Appointment Options

The firm is considering both permanent and interim candidates, with a preference for interim.

• Interim: Day rate or FTC for an initial 6 months. The budget is flexible and could increase for the right candidate.
• Permanent: Salary budget of approximately £90,000 - £95,000, depending on experience.

The ideal candidate will combine strong investment compliance knowledge with practical Charles River rule-building expertise, alongside an interest in improving monitoring processes through technology and automation.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates