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Compliance Analyst – Guideline Monitoring Experience (from Compliance or Operations) Required


£45K-£60K + Bonus + Bens


Our Client, a leading Asset Management Firm, is looking for a compliance analyst to join their guideline monitoring team. Duties will include;

• Monitor investment activity on a pre and post trade basis to ensure compliance with client guidelines, regulatory rules, prospectuses, and policies and procedures both on an automated and manual basis. • Research potential violations and escalate as needed to resolve. • Work closely with Portfolio Management, Trading, and Operations to manage trade day alerts • Prepare client certification and Board Reports as required. • Review changes to client guidelines and update system as needed. • Assist in on-boarding and compliance setup for new accounts as needed. • Respond to ad hoc requests regarding trading and fund information.

The successful candidate must have a minimum of two years’ experience of guideline monitoring, whether gained in Compliance or Operations.

For further information or a confidential no obligation discussion, please feel free to call David Crook on ######### or send your details to him at #########


Posted 16 days ago

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