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: liam@rutherfordsearch.com
Phone: 020 3778 0852
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