Investment Compliance Analyst

Rutherford Search; London; On-site; GBP 60,000 - 80,000; Full time

Job description

About the job

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:

1. Monitor and review real-time alerts to ensure compliance with investment guidelines, resolving exceptions in collaboration with trading and portfolio management teams.
2. Manage pre-trade compliance checks and contribute to the development of a robust pre-trade monitoring framework.
3. Assess restrictions for new investment mandates and confirm adherence before approval.
4. Oversee regulatory thresholds within the firm's compliance and risk systems.
5. Investigate and document breaches of restrictions, maintaining detailed records.
6. Partner with product and legal teams to review and update documentation as necessary.
7. Work alongside the Technology team to enhance monitoring systems and develop tools aligned with strategic objectives.

Your Profile:

1. Bachelor’s degree in a discipline emphasising analytical skills.
2. 2-4 years of experience in a compliance, risk, or monitoring role within an asset manager or similar financial institution.
3. Solid understanding of investment strategies, including those involving derivatives and short positions.
4. Familiarity with trading desk operations and workflows.
5. Proficiency in programming languages such as Excel/VBA, SQL, or Python is advantageous.