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For Companies 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
Rutherford offers a dynamic and inclusive work environment in the heart of London, making it an exceptional employer for those looking to advance their careers in compliance within the asset management sector. With a strong focus on employee development, you will have access to extensive training opportunities and the chance to collaborate with high-performing teams across diverse investment strategies. The company's commitment to fostering a culture of excellence and innovation ensures that every team member can contribute meaningfully while enjoying a supportive and engaging workplace.
Contact Detail:
Rutherford Recruiting Team
