Investment Compliance Analyst

Bruin; Greater London; On-site; GBP 60,000 - 100,000; Full time

Job summary

Bruin is seeking an Investment Compliance / Portfolio Restrictions Analyst to join its Portfolio Services and Investment Compliance function. The role centres on coding, monitoring and breach management of investment restrictions across a range of portfolios, in close collaboration with Investment, Compliance, Client Services and Operations teams.

Ideal candidates will have experience in Investment Compliance or Portfolio Services, hands-on use of Charles River or another OMS, and solid

Qualifications

• Experience in Investment Compliance, Investment Operations or Portfolio Services.
• Practical experience with Charles River or another established OMS.
• Understanding of investment restriction coding and breach management.
• Knowledge of UK and Luxembourg UCITS regulatory framework.
• Strong attention to detail, organisation and analytical skills.
• Ability to work independently, manage competing priorities and tight deadlines.
• Strong communication across Investment, Compliance, Operations and client-facing teams.
• Proactive mindset to challenge and improve existing processes.

Responsibilities

• Own investment restriction coding and controls within Charles River or another OMS.
• Manage the daily breach process: investigate, document, escalate and resolve.
• Review and maintain investment restriction coding and related manual controls.
• Conduct regular audits to ensure controls align with client, regulatory and fund requirements.
• Implement changes to investment restriction coding and maintain audit trails.
• Manage client-specific restricted stock lists and internal stop lists.
• Maintain coding relating to eligible countries, markets and asset classes.
• Produce MI and reporting for governance committees.
• Provide broader support across Portfolio Services and contribute to resilience and cross-training.

Skills

Investment compliance

Portfolio services

Breach management

Regulatory knowledge

Attention to detail

Analytical thinking

Communication skills

Independent work

Tools

Charles River

Job description

Investment Compliance / Portfolio Restrictions Analyst

A leading investment management business is looking to hire an experienced professional to join its Portfolio Services / Investment Compliance function.

The role will focus on the coding, monitoring and breach management of investment restrictions across a range of portfolios, working closely with Investment, Compliance, Client Services and Operations teams.

Key responsibilities:

• Own investment restriction coding and controls within Charles River or another recognised OMS.
• Manage the daily breach process, including investigation, documentation, escalation and resolution.
• Review and maintain investment restriction coding and associated manual controls.
• Conduct regular audits to ensure controls remain aligned with client, regulatory and fund requirements.
• Implement changes to investment restriction coding and maintain appropriate audit trails.
• Manage client-specific restricted stock lists and internal stop lists.
• Maintain coding relating to eligible countries, markets and asset classes.
• Produce MI and reporting for relevant governance committees.
• Provide broader support across the Portfolio Services function and contribute to operational resilience and cross-training.

Ideal background:

• Experience in a similar Investment Compliance, Investment Operations or Portfolio Services role within asset/investment management.
• Practical experience with Charles River or another established OMS.
• Understanding of investment restriction coding and breach management.
• Knowledge of the regulatory framework applicable to UK and Luxembourg funds, including UCITS.
• Strong attention to detail, organisation and analytical skills.
• Comfortable working independently, managing competing priorities and operating to tight deadlines.
• Strong communication skills with the ability to work effectively across Investment, Compliance, Operations and Client-facing teams.
• A proactive mindset with the confidence to challenge, question and improve existing processes.

The opportunity would suit someone who enjoys the intersection of investment compliance, portfolio controls, systems and investment operations, with the opportunity to work closely with multiple areas of the investment management business.