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- Tasks: Monitor investment guidelines and ensure compliance across trades and communications.
- Company: Join a leading global investment management firm with a strong reputation.
- Benefits: Enjoy a competitive daily rate and hybrid working model for flexibility.
- Why this job: Be part of a dynamic team tackling real-world financial challenges and enhancing your skills.
- Qualifications: Experience in asset management and knowledge of regulatory frameworks are essential.
- Other info: Initial contract for 6 months with potential for extension.
The predicted salary is between 43200 - 72000 £ per year.
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.
Guideline Monitoring Analyst employer: Cornwallis Elt
Contact Detail:
Cornwallis Elt Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Guideline Monitoring Analyst
✨Tip Number 1
Familiarise yourself with Charles River and other monitoring tools mentioned in the job description. If you have access to any online tutorials or courses, take advantage of them to boost your knowledge and demonstrate your commitment to mastering these tools.
✨Tip Number 2
Stay updated on the latest regulatory frameworks like UCITS, MiFID, and AIFMD. Follow relevant financial news sources or join online forums to discuss these topics, which will help you speak confidently about them during interviews.
✨Tip Number 3
Network with professionals in the investment management sector, especially those who work in guideline monitoring. Attend industry events or webinars to make connections and gain insights that could give you an edge in your application.
✨Tip Number 4
Prepare for potential interview questions by practising how you would handle specific scenarios related to pre- and post-trade monitoring. Think of examples from your past experience where you successfully resolved breaches or improved monitoring processes.
We think you need these skills to ace Guideline Monitoring Analyst
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in investment guideline monitoring and asset management. Emphasise your familiarity with regulatory frameworks like UCITS and MiFID, as well as any specific tools you've used, such as Charles River.
Craft a Compelling Cover Letter: In your cover letter, explain why you're interested in the Guideline Monitoring Analyst position. Mention your analytical skills and proactive mindset, and provide examples of how you've tackled similar challenges in previous roles.
Highlight Relevant Qualifications: If you have industry qualifications like IMC or CFA, make sure to mention them prominently in your application. This can set you apart from other candidates and demonstrate your commitment to the field.
Showcase Your Technical Skills: Detail your experience with monitoring tools and your exposure to various asset classes. Be specific about your coding experience in Charles River or similar platforms, as this is crucial for the role.
How to prepare for a job interview at Cornwallis Elt
✨Know Your Guidelines
Make sure you have a solid understanding of investment guidelines and regulatory frameworks like UCITS and MiFID. Be prepared to discuss how you've tackled guideline monitoring in your previous roles.
✨Familiarise Yourself with Charles River
Since the role involves coding investment guidelines into Charles River, it’s crucial to demonstrate your familiarity with this tool. If you’ve used similar monitoring tools, be ready to explain how those experiences translate.
✨Showcase Your Analytical Skills
Highlight your analytical skills and attention to detail during the interview. Prepare examples of how you've successfully resolved breaches or conducted market abuse surveillance in the past.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving abilities. Think about potential challenges you might face in pre- and post-trade monitoring and how you would address them.
