Guideline Monitoring Analyst

Guideline Monitoring Analyst – £600 p/d (inside IR35) – Hybrid (3x days p/w office) – Initial 6 months

My client is a leading global investment management business looking to hire a Guideline Monitoring Analyst to provide an effective guideline and surveillance monitoring function for the business, as they move on to Charles River. You’ll play a key role in ensuring effective pre- and post-trade monitoring across client, fund, and regulatory guidelines. You'll also support wider surveillance activities, including market abuse, best execution, and communications monitoring.

The Guideline Monitoring Analyst is expected to:

• Tackle pre- and post-trade guideline monitoring and resolution of breaches.
• Coding of investment guidelines into Charles River.
• Market abuse surveillance and oversight of insider lists.
• Monitoring of best execution and communications (email/chat).
• Support client onboarding by reviewing investment restrictions.
• Assist with ongoing procedure documentation and project initiatives.

The Guideline Monitoring Analyst must possess:

• Experience in investment guideline monitoring within asset management.
• Strong understanding of UCITS and regulatory frameworks (e.g. MiFID, AIFMD).
• Familiar with monitoring tools such as Charles River (preferred), thinkFolio, Sentinel, or Aladdin.
• Exposure to multiple asset classes, including equities, fixed income, and derivatives.
• Strong analytical skills, attention to detail, and a proactive mindset.
• Industry qualifications (IMC, CFA) or equivalent desirable.