Back to search
Guideline Monitoring | Portfolio Compliance | Investment Compliance
Salary: Competitive and based on experience
Location: London
Keywords: Guideline Monitoring, Portfolio Compliance, Associate Director, Asset Management, Compliance Systems
Our client is seeking a dedicated and knowledgeable Associate Director for their Guideline Monitoring and Portfolio Compliance team. This role is an exciting opportunity to contribute to the maintenance and development of a comprehensive, enterprise-wide investment guideline monitoring program. The successful candidate will be instrumental in assessing the firm's guideline monitoring risks and identifying breaches to prescribed policies. This high-visibility role offers frequent interaction with various teams within the organisation, including Portfolio Management, Trading, Legal, Compliance, Risk, and Client Services.
- Opportunity to contribute to a comprehensive investment guideline monitoring program
- High-visibility role with frequent cross-departmental interaction
- Chance to mitigate risks and ensure compliance with client investment restrictions
As an Associate Director in Guideline Monitoring and Portfolio Compliance, your role will be pivotal in assisting the maintenance and development of a comprehensive, enterprise-wide investment guideline monitoring program. You will be responsible for accurately implementing investment restrictions into the compliance system Aladdin while liaising with various stakeholders. Your leadership skills will be put to use as you spearhead initiatives aimed at ensuring accuracy and efficiency in coding rules. You will also monitor investment guidelines on both pre and post-trade basis using Aladdin and other internal systems. Your keen eye for detail will be crucial in identifying potential breaches of regulatory and client investment restrictions.
- Assist in the maintenance and development of an enterprise-wide investment guideline monitoring program
- Identify breaches to prescribed policies and assess guideline monitoring risks
- Implement investment restrictions into the compliance system Aladdin
- Liaise with stakeholders to ensure clear understanding of investment guidelines
- Lead initiatives for efficient coding of rules through testing and reviewing restrictions
- 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 to relevant stakeholders
- Provide guidance to business units on relevant investment compliance issues
What you bring:
The ideal candidate for this Associate Director position brings a wealth of experience in asset management, specifically with a minimum of 5 years' experience in Compliance or Middle Office PM assistant roles. You have spent at least 3-5 years honing your skills in guideline management. Your knowledge of OMS/Compliance systems is extensive, with familiarity in systems such as Bloomberg AIM, Charles River, Sentinel & thinkFolio. You have a deep understanding of EU Regulation particularly UCITS & AIFMD in addition to US regulations. Your ability to interpret prospectuses and IMA's to identify relevant guidelines and applicable regulations is unparalleled. You are familiar with ESG data vendors like MSCI ESG and understand their uses in investment guideline monitoring.
- Minimum 5 years' asset management experience preferably in Compliance or Middle Office PM assistants roles
- Minimum 3-5 years' guideline management experience
- Knowledge of OMS/Compliance systems such as Bloomberg AIM, Charles River, Sentinel & thinkFolio
- Understanding of EU Regulation particularly UCITS & AIFMD in addition to US regulations
- Ability to interpret prospectuses and IMA's to identify relevant guidelines and applicable regulations
- Understanding of ESG data vendors like MSCI ESG for investment guideline monitoring
- Strong organizational and analytical skills; detail-oriented approach
What sets this company apart:
Our client is a globally recognised firm that values its associates as much as its clients. They reward their employees 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 work environment where your contributions are recognised and rewarded.
What's next:
Ready to take the next step in your career? Apply now for this exciting opportunity!
Apply today by clicking on the link provided. We look forward to receiving your application!
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
