Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Conduct compliance checks and support investment teams with queries.
- Company: Join a leading global asset manager in a dynamic compliance team.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth.
- Why this job: Gain exposure to diverse investment strategies and enhance your compliance expertise.
- Qualifications: 5 years' experience in compliance or investment guideline monitoring required.
- Other info: Proficiency in Bloomberg AIM is a plus; degree level education preferred.
The predicted salary is between 48000 - 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.
Investment Guideline Specialist employer: Rutherford
Contact Detail:
Rutherford Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment 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 not only boost your confidence but also demonstrate your commitment to the field 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 day-to-day responsibilities and challenges of the position, which you can reference in your discussions with us.
✨Tip Number 3
Brush up on your Bloomberg AIM skills if you’re not already proficient. Since it's mentioned as desirable, showcasing your ability to navigate this tool can set you apart from other candidates and show that you're ready to hit the ground running.
✨Tip Number 4
Prepare to discuss your experience with pre- and post-trade compliance checks in detail. Be ready to share specific examples of how you've handled compliance-related queries or issues in the past, as this will highlight your practical knowledge and problem-solving skills.
We think you need these skills to ace Investment 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 Investment Guideline Specialist role. Mention your experience in asset management and how it aligns with the responsibilities outlined in the job description.
Highlight Key Skills: Focus on showcasing your strong communication and interpersonal skills. Provide examples of how you've successfully managed stakeholder relationships in previous roles, as this is crucial for the position.
Proofread Your Application: Before submitting, carefully proofread your application materials. Check for any spelling or grammatical errors, and ensure that all information is clear and concise to make a strong impression.
How to prepare for a job interview at Rutherford
✨Know Your Compliance Regulations
Make sure you have a solid understanding of the key compliance regulations relevant to the role, such as UCITS and the 1940 Act. Being able to discuss these frameworks confidently will show your expertise and readiness for the position.
✨Familiarise Yourself with Investment Products
Brush up on different investment products and strategies, especially equity investment strategies. This knowledge will help you engage in meaningful discussions with the interviewers about how compliance interacts with various investment approaches.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think of examples from your past experience where you successfully navigated compliance challenges, particularly in pre- and post-trade checks.
✨Showcase Your Communication Skills
Since the role involves collaboration with investment teams, be prepared to demonstrate your strong communication and interpersonal skills. Share examples of how you've effectively managed stakeholder relationships in previous roles.
