Rutherford is working with a global asset manager to appoint a Guideline Monitoring Specialist into their London-based compliance function. Reporting directly to the Head of Compliance, this is an exciting opportunity to join a high-performing team with broad exposure across investment strategies and jurisdictions. The role will involve close collaboration with investment teams and provide a blend of pre- and post-trade compliance responsibilities alongside wider monitoring duties.
Key Responsibilities:
* Conduct pre- and post-trade investment compliance checks and support the wider monitoring function.
* Serve as a point of contact for investment teams regarding compliance-related queries.
* Support the day to day Compliance Monitoring function
* Assist in monitoring areas such as best execution, restricted lists, and market abuse.
* Provide support on broader compliance matters, including PA dealing and regulatory filings (e.g. shareholding disclosures).
* Help maintain and improve internal systems and controls related to investment compliance.
Candidate Profile:
* At least 5 years’ experience in a compliance or investment guideline monitoring role within asset management or a similar financial institution.
* Proficiency with Bloomberg AIM is desirable.
* Good understanding of investment products and regulatory frameworks including UCITS, 1940 Act and AIFs.
* Familiarity with equity investment strategies and working alongside front office teams.
* Strong communication and interpersonal skills, with the ability to manage a variety of stakeholders.
* Educated to degree level or equivalent.