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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 role.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth.
- Why this job: Be part of a high-performing team impacting investment strategies globally.
- Qualifications: 5+ years in compliance, degree level education, and strong communication skills required.
- Other info: Experience with Bloomberg AIM and knowledge of regulatory frameworks is a plus.
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
Network with professionals in the asset management industry, especially those who work in compliance roles. Attend industry events or webinars to connect with potential colleagues and learn more about the specific challenges they face.
✨Tip Number 2
Familiarise yourself with the latest regulatory changes and compliance frameworks relevant to investment guidelines. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a fast-paced environment.
✨Tip Number 3
Consider reaching out to current or former employees of the company to gain insights into their culture and expectations. This can provide you with valuable information that can be used to tailor your approach during the interview process.
✨Tip Number 4
Prepare to discuss specific examples from your past experience where you successfully managed compliance issues or improved processes. Highlighting your problem-solving skills and ability to collaborate with investment teams will set you apart from other candidates.
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 your strong communication and interpersonal skills in your application. Provide examples of how you've managed stakeholders effectively in previous roles, as this is crucial for the position.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. A polished application reflects attention to detail, which is essential in compliance roles.
How to prepare for a job interview at Rutherford
✨Know Your Compliance Regulations
Make sure you have a solid understanding of the regulatory frameworks relevant to the role, such as UCITS and the 1940 Act. Brush up on your knowledge of investment products and how they relate to compliance to demonstrate your expertise.
✨Familiarise Yourself with Bloomberg AIM
If you have experience with Bloomberg AIM, be prepared to discuss it in detail. If not, take some time to learn the basics, as proficiency in this tool is desirable for the role. Showing initiative in learning about it can impress your interviewers.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in compliance scenarios. Think of examples from your past experience where you successfully handled compliance issues or improved processes, and be ready to share these stories.
✨Showcase Your Communication Skills
As the role involves collaboration with various teams, highlight your strong communication and interpersonal skills. Be prepared to discuss how you've effectively managed stakeholder relationships in previous roles, as this will be crucial for success in the position.
