Guideline Monitoring Analyst

London, United Kingdom
Jun 02, 2023
Jun 15, 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
What you'll be doing

Ensuring the team swiftly act on identified breaches of guidelines and discuss with relevant business areas through to solution and escalation. To ensure monitoring is flexible and adapts to changing requirements as soon as is practically possible.

Guideline Monitoring
  • Ensuring the monitoring of all IMA/Regulatory/client guidelines for funds are captured in Charles River
  • Review and challenge of all related post trade output and appropriate critique of results
  • On-going maintenance and improvement of the monitoring processes with a focus on standardisation and automation
  • Ensuring Senior Managers are kept informed of all progress and issues
  • Question and challenge contradictory/inappropriate guideline proposals/amendments
  • Forming and maintaining effective working relationships with team members and key stakeholders
  • Maintaining an open and effective dialogue with Fund Managers in relation to monitoring issues, reporting and client changes

Client service
  • Thorough review and interpretation of client guidelines
  • Sign off processes and procedures followed
  • Development of key stakeholder working relationships
  • Knowledge of client products and rationale behind investment

What we're looking for
  • Relevant in market trade compliance management
  • A solid understanding of the investment process
  • Knowledge of markets and products/strategies/regulatory environments
  • Intermediate level of experience in Excel
  • Good interpersonal skills - including verbal and written communication skills
  • Determined, self-motivated and resourceful to achieve objectives
  • Ability to absorb, interpret, apply and communicate information effectively
  • Problem solving ability
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