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- Tasks: Conduct compliance checks and support monitoring for investment teams.
- 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 across the globe.
- Qualifications: 5+ years in compliance or investment guideline monitoring required.
- Other info: Ideal for those passionate about finance and regulatory frameworks.
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:
- 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.
Requirements:
- At least 5 years’ experience in a compliance or investment guideline monitoring role within asset management or a similar financial institution.
- 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.
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 changes and compliance frameworks relevant to the role, such as UCITS and AIFs. This knowledge will not only boost your confidence but also demonstrate your commitment to staying updated in the field.
✨Tip Number 3
Prepare to discuss your experience with pre- and post-trade compliance checks in detail. Be ready to share specific examples of how you've successfully navigated compliance issues in previous roles, showcasing your problem-solving skills.
✨Tip Number 4
Research the company’s investment strategies and recent developments. Understanding their approach will help you tailor your discussions and show that you're genuinely interested in contributing to their compliance function.
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 and investment guideline monitoring. Emphasise your understanding of regulatory frameworks like UCITS and the 1940 Act, as well as any specific achievements in previous roles.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention how your background aligns with the responsibilities outlined in the job description, particularly your experience with pre- and post-trade compliance checks.
Showcase Relevant Skills: Highlight skills that are crucial for the role, such as attention to detail, analytical thinking, and effective communication. Provide examples of how you've successfully collaborated with investment teams or handled compliance-related queries in the past.
Proofread Your Application: Before submitting, carefully proofread your application materials. Look for any spelling or grammatical errors, and ensure that all information is clear and concise. A polished application reflects your professionalism and 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 your expertise and readiness for the role.
✨Demonstrate Your Experience
Prepare specific examples from your past roles that highlight your experience in compliance and investment guideline monitoring. This could include situations where you successfully managed compliance checks or collaborated with investment teams.
✨Showcase Your Analytical Skills
As an Investor Guideline Specialist, analytical skills are crucial. Be ready to discuss how you've used data analysis to improve compliance processes or monitor investment strategies effectively.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance culture and how they handle challenges in investment compliance. This shows your genuine interest in the role and helps you assess if it's the right fit for you.
