Investment Compliance Analyst

Rutherford Search; London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading asset manager in the UK is seeking a Compliance Analyst to join their Investment Monitoring Team. This role offers an opportunity to work closely with a skilled compliance team, ensuring adherence to investment guidelines while developing valuable expertise in a global environment.

Qualifications

• Bachelor’s degree emphasizing analytical skills.
• 2-4 years of compliance or risk experience.
• Solid understanding of investment strategies.

Responsibilities

• Monitor and review compliance with investment guidelines.
• Manage pre-trade compliance checks.
• Investigate and document breaches of restrictions.

Skills

Analytical skills

Compliance knowledge

Knowledge of investment strategies

Proficiency in programming languages

Education

Bachelor’s degree

Job description

Rutherford have been mandated by a global, UK-headquartered asset manager. The successful candidate will join their Investment Monitoring Team as a Compliance Analyst. This position reports directly to the Head of Compliance and offers the chance to develop expertise in a global setting, working alongside a highly experienced compliance team.

Responsibilities:

• Monitor and review real-time alerts to ensure compliance with investment guidelines, resolving exceptions in collaboration with trading and portfolio management teams.

• Manage pre-trade compliance checks and contribute to the development of a robust pre-trade monitoring framework.

• Assess restrictions for new investment mandates and confirm adherence before approval.

• Oversee regulatory thresholds within the firm's compliance and risk systems.

• Investigate and document breaches of restrictions, maintaining detailed records.

• Partner with product and legal teams to review and update documentation as necessary.

• Work alongside the Technology team to enhance monitoring systems and develop tools aligned with strategic objectives.
  

Your Profile:

• Bachelor’s degree in a discipline emphasising analytical skills.

• 2-4 years of experience in a compliance, risk, or monitoring role within an asset manager or similar financial institution.

• Solid understanding of investment strategies, including those involving derivatives and short positions.

• Familiarity with trading desk operations and workflows.

• Proficiency in programming languages such as Excel/VBA, SQL, or Python is advantageous

For more information about this position, please get in touch with Liam Lynch.
Email: [e-mail]
Phone: [phone]