At a Glance
- Tasks: Monitor investment restrictions and oversee regulatory obligations for GAM UK & GAM Asia funds.
- Company: Join a dynamic investment management firm focused on client success and community impact.
- Benefits: Enjoy a competitive salary, flexible work environment, and opportunities for professional growth.
- Other info: Work in a supportive culture that values development and relationship-building.
- Why this job: Make a real difference in investment policy while collaborating with a high-performing team.
- Qualifications: Strong 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 employer: CFA Institute
At RBC GAM, we pride ourselves on fostering a dynamic and collaborative work environment that empowers our employees to thrive. With a strong focus on professional development and a commitment to community impact, we offer meaningful opportunities for growth while ensuring a flexible work-life balance in the heart of London. Join us to be part of a high-performing team that values innovation and relationships, making a real difference in the investment management landscape.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Investment Policy & Compliance Analyst
✨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. We want to see you confidently discuss market structures and regulatory obligations, so do your homework!
✨Tip Number 3
Showcase your analytical skills! Be ready to discuss how you've tackled investment breaches or improved trading processes in the past. Real-life examples will make you stand out from the crowd.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Senior Investment Policy & Compliance Analyst
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Senior Investment Policy & Compliance Analyst role. Highlight your relevant experience in finance and investment management, and don’t forget to showcase your knowledge of financial markets and instruments.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for this role. Mention specific experiences that relate to monitoring investment restrictions and regulatory obligations, and show us your passion for the industry.
Showcase Your Skills:We want to see your critical thinking and detail-oriented skills in action. Use examples from your past work to demonstrate how you've successfully managed investment policies or handled compliance issues. This will help us understand how you can contribute to our team.
Apply Through Our Website:Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us you’re keen on joining our dynamic team at StudySmarter!
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 philosophy and any recent regulatory changes that could impact their operations. This will show your commitment and readiness to contribute from day one.
✨Demonstrate Analytical Skills
Be prepared to discuss your experience with monitoring investment restrictions and analysing trading activities. Bring examples of how you've handled breaches or compliance issues in the past. Highlight your critical thinking skills and how they can benefit the team in ensuring best execution and adherence to regulations.
✨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 successfully collaborated with legal teams or other departments in previous roles. This will demonstrate that you can thrive in a flexible, relationship-driven environment.
✨Prepare for Technical Questions
Expect questions about financial instruments, market structures, and portfolio optimisation techniques. Brush up on your knowledge of fixed income and equities, and be ready to discuss how these concepts apply to the role. Showing your technical expertise will help you stand out as a strong candidate.
