At a Glance
- Tasks: Monitor investment restrictions and oversee compliance for GAM UK & GAM Asia funds.
- Company: Join a dynamic investment management team focused on client success.
- Benefits: Flexible work environment, professional development, and supportive leadership.
- Other info: Collaborative culture with opportunities for growth and innovation.
- Why this job: Make a real impact in the finance world while building strong client relationships.
- Qualifications: Knowledge of financial markets and investment products; relevant finance experience preferred.
The predicted salary is between 60000 - 80000 £ per year.
Provide support to the Investment Policy team by primarily monitoring investment restrictions related to the GAM UK & GAM Asia funds, as well as overseeing best execution, market structure and other regulatory obligations.
This is a permanent, full-time role with 4 days in the office – perfect for someone who thrives in a flexible, relationship-driven environment.
What will you do?
- Develop and maintain investment policy statements for RBC GAM's investment funds including the creation of new mandates for Institutional clients.
- Daily monitoring of investment policy statement breaches and appropriate escalation.
- Daily documentation of any investment breaches.
- Attend meetings related to new account launches/on boarding and represent the interests of Investment Policy.
- Assist with the creation of new client Investment Management Agreements and the associated on boarding of new clients.
- Set up and maintain internal and regulatory investment mandate constraints in RBC GAM's trade order management system.
- Understand regulatory requirements in key jurisdictions where GAM operates.
- Liaise with RBC GAM's Legal team and sell side partners to monitor regulatory changes and inform the investment management teams of any updates.
- Create daily and weekly reports of mandate/rules breaches to be distributed to Senior Management.
Trading/Other
- Assist in monitoring trading activity within RBC GAM, including best execution monitoring, trade cost analysis, commission management and exception reporting analysis.
- Assist with answering RFP questions in a timely manner.
- Act as secretary of the Trade Management Oversight Committee helping to collate all materials required for the meeting.
- Assist with quarterly and monthly client reporting.
- Ad hoc projects as required.
- Understanding of trading success factors for key asset classes including equities and fixed income instruments, is an asset.
- Assist in annual/ad-hoc attestation of key processes and creation/revision for documenting procedures/responsibilities.
Research Payments
- Attend Research Payment Oversight Committee meetings as secretary and provide management information to help oversee and test research budgets and allocations.
- Request invoices from research providers on a quarterly basis and track these invoices to ensure timely payment.
- Help automate the research payment process.
What do you need to succeed?
Must-have
- Good knowledge of regional and local financial markets, economic disciplines and regulation.
- Understanding of the variety of financial instruments such as fixed income and equities.
- In depth knowledge of investment industry products and services.
- Competent computer skills and proficiency with Microsoft Office products.
- Ability to quickly adopt to the group's investment policies, philosophy and strategies.
- Familiarity with modern portfolio theory and with portfolio optimisation techniques is a plus.
- Relevant experience in finance, preferably in an Investment Management environment.
What would be nice to have
- CFA designation
- Investment Management Certificate
What's in it for you?
We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
Leaders who support your development through coaching and managing opportunities. Work in a dynamic, collaborative, progressive, and high performing team. Opportunities to building close relationships with clients.
Job Skills
- Critical Thinking
- Detail-Oriented
- Financial Planning and Analysis (FP&A)
- Financial Services Industry
- Fund Analysis
- Information Capture
- Investment Banking Analysis
- Investment Performance Measurement
- Investment Risk Management
- Investments Analysis
Additional Job Details
- Address: 100 BISHOPSGATE: LONDON
- City: London
- Country: United Kingdom
- Work hours/week: 35
- Employment Type: Full time
- Platform: WEALTH MANAGEMENT
- Job Type: Regular
- Pay Type: Salaried
- Posted Date: 2026-05-08
- Application Deadline: 2026-05-22
Senior Investment Policy & Compliance Analyst in London employer: CFA Institute
At RBC GAM, we pride ourselves on being an exceptional employer that fosters a dynamic and collaborative work culture. Our commitment to employee development is evident through our supportive leadership and opportunities for growth within the investment management sector. Located in the heart of London, we offer a flexible working environment that encourages meaningful relationships with clients and colleagues alike, making it an ideal place for those seeking a rewarding career in finance.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Investment Policy & Compliance Analyst in London
✨Tip Number 1
Network like a pro! Reach out to folks in the investment management space, especially those who work at RBC GAM or similar firms. A friendly chat can open doors and give you insights that might just land you an interview.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of investment policies and compliance regulations. We want you to be the go-to person for any questions they throw your way, so show off your expertise!
✨Tip Number 3
Don’t forget to follow up after interviews! A quick thank-you email can keep you fresh in their minds and shows your enthusiasm for the role. Plus, it’s a great chance to reiterate why you’re the perfect fit.
✨Tip Number 4
Apply through our website for the best chance at landing that Senior Investment Policy & Compliance Analyst role. We love seeing candidates who are proactive and engaged with our company!
We think you need these skills to ace Senior Investment Policy & Compliance Analyst in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the skills and experiences that align with the Senior Investment Policy & Compliance Analyst role. Highlight your knowledge of financial markets and investment policies, as these are key to impressing us.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about investment policy and compliance. Share specific examples of your past experiences that relate to the job description, and show us how you can contribute to our team.
Be Clear and Concise:When filling out your application, keep your language clear and to the point. Avoid jargon unless it's relevant to the role. We appreciate straightforward communication, so make it easy for us to see your qualifications.
Apply Through Our Website:We encourage you to apply directly through our website. This ensures your application gets to the right people quickly. Plus, it shows us you're serious about joining our dynamic team!
How to prepare for a job interview at CFA Institute
✨Know Your Investment Policies
Before the interview, make sure you thoroughly understand the investment policies and guidelines relevant to the role. Familiarise yourself with RBC GAM's investment funds and any recent changes in regulations that could impact them. This will show your commitment and readiness to contribute from day one.
✨Demonstrate Your Analytical Skills
Be prepared to discuss your experience with monitoring investment restrictions and handling breaches. Bring examples of how you've successfully navigated similar situations in the past. Highlight your critical thinking skills and how they can benefit the team in ensuring compliance and best execution.
✨Showcase Your Relationship-Building Abilities
Since this role involves liaising with various teams, emphasise your ability to build strong relationships. Share examples of how you've collaborated with legal teams or other departments to achieve common goals. This will demonstrate that you can thrive in a relationship-driven environment.
✨Prepare for Technical Questions
Expect questions about financial instruments, market structures, and regulatory requirements. Brush up on your knowledge of fixed income and equities, as well as modern portfolio theory. Being able to discuss these topics confidently will set you apart as a knowledgeable candidate.
