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- Tasks: Join a dynamic team to ensure compliance in investment strategies and monitor trading activities.
- Company: Rutherford partners with a leading global asset manager, known for its innovative investment solutions.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth and development.
- Why this job: Be part of a high-performing team that values compliance and integrity in the financial sector.
- Qualifications: 5+ years in compliance or investment guideline monitoring; degree level education required.
- Other info: Proficiency in Bloomberg AIM is a plus; strong communication skills are essential.
The predicted salary is between 43200 - 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.
Investor Guideline Specialist employer: Rutherford
Contact Detail:
Rutherford Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investor 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 frameworks and compliance standards relevant to investment guidelines. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing 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 Investor 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 proficiency with Bloomberg AIM and any specific regulatory frameworks you are familiar with, such as UCITS or the 1940 Act.
Craft a Compelling Cover Letter: In your cover letter, explain why you are interested in the Investor Guideline Specialist role. Mention your experience working with investment teams and how your skills align 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 managed stakeholders in previous roles, as this is crucial for the position.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, and that all information is clear and concise. A polished application reflects your attention to detail.
How to prepare for a job interview at Rutherford
✨Know Your Compliance Regulations
Make sure you have a solid understanding of the relevant compliance regulations, such as UCITS and the 1940 Act. Being able to discuss these frameworks confidently will show that you're well-prepared and knowledgeable about the industry.
✨Familiarise Yourself with Investment Products
Brush up on your knowledge of various investment products and strategies, especially equity investments. This will help you engage in meaningful discussions with the interviewers and demonstrate your expertise in the field.
✨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 navigated compliance challenges, as this will showcase your practical knowledge.
✨Highlight Your Communication Skills
Since the role involves collaboration with investment teams, emphasise your strong communication and interpersonal skills. Be ready to provide examples of how you've effectively managed stakeholder relationships in previous roles.
