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- Tasks: Join a dynamic team to ensure compliance in investment strategies and monitor trading activities.
- Company: Rutherford partners with a leading global asset manager, known for its innovative investment solutions.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth and development.
- Why this job: Be part of a high-performing team that values compliance and ethical investing while making a real impact.
- Qualifications: 5+ years in compliance or investment guideline monitoring; degree level education required.
- Other info: Experience with Bloomberg AIM and knowledge of regulatory frameworks is a plus.
The predicted salary is between 43200 - 72000 £ per year.
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.
Contact Detail:
Rutherford Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investor Guideline Specialist
✨Tip Number 1
Familiarise yourself with the specific compliance regulations and investment guidelines relevant to the role. Understanding UCITS, the 1940 Act, and AIFs will give you a solid foundation to discuss during interviews.
✨Tip Number 2
Network with professionals in the asset management industry, especially those who work in compliance roles. Engaging with them can provide insights into the company culture and expectations, which can be invaluable during your application process.
✨Tip Number 3
Brush up on your knowledge of Bloomberg AIM, as proficiency in this tool is desirable for the position. Consider taking an online course or tutorial to enhance your skills and demonstrate your commitment to the role.
✨Tip Number 4
Prepare to showcase your communication and interpersonal skills during interviews. Think of examples where you've successfully managed stakeholder relationships or resolved compliance-related issues, as these experiences will resonate well with the hiring team.
We think you need these skills to ace Investor Guideline Specialist
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance or investment guideline monitoring. Emphasise your familiarity with investment products and regulatory frameworks, as well as any specific experience with Bloomberg AIM.
Craft a Compelling Cover Letter: In your cover letter, explain why you are interested in the Investor Guideline Specialist role. Mention your experience in compliance, your understanding of investment strategies, and how your skills align with the responsibilities outlined in the job description.
Highlight Communication Skills: Since strong communication and interpersonal skills are crucial for this role, provide examples in your application that demonstrate your ability to manage stakeholders and collaborate effectively with investment teams.
Showcase Continuous Improvement: Discuss any initiatives you've taken to improve internal systems and controls related to investment compliance in your previous roles. This will show your proactive approach and commitment to enhancing compliance functions.
How to prepare for a job interview at Rutherford
✨Know Your Compliance Regulations
Make sure you have a solid understanding of the relevant compliance regulations, such as UCITS and the 1940 Act. Brush up on these topics before the interview, as they are likely to come up in conversation.
✨Familiarise Yourself with Investment Products
Since the role involves working with various investment products, take some time to review the different types of assets and strategies. Being able to discuss these confidently will show your expertise and readiness for the position.
✨Prepare for Scenario-Based Questions
Expect questions that assess how you would handle specific compliance scenarios. Think about past experiences where you successfully navigated compliance challenges and be ready to share those examples.
✨Showcase Your Communication Skills
As the role requires collaboration with investment teams, demonstrate your strong communication skills during the interview. Be clear and concise in your answers, and don’t hesitate to ask clarifying questions if needed.
