GUIDELINE MONITORING COMPLIANCE ASSOCIATE DIRECTOR
Keywords: Compliance, Asset Management, Investment Guidelines
Our client is seeking a diligent, knowledgeable and dependable Guideline Monitoring Compliance Associate Director to join their team in London. This role offers the opportunity to be part of a comprehensive, enterprise-wide investment guideline monitoring program. The successful candidate will have the chance to collaborate with various teams within the organisation, including Portfolio Management, Trading, Legal, Compliance, Risk, and Client Services. This is an excellent opportunity for someone looking to further their career in compliance within the asset management industry.

* Opportunity to work on a comprehensive, enterprise-wide investment guideline monitoring program
* Collaborate with diverse teams within the organisation
* Excellent career progression opportunities
What you’ll do:
As a Guideline Monitoring Compliance Senior Associate/Associate Director, your role will be pivotal in maintaining and developing the firm’s comprehensive investment guideline monitoring program. You will be responsible for assessing the firm’s guideline monitoring risks and identifying breaches to prescribed policies. Your expertise will be crucial in using policies, procedures, and both manual and automated systems to mitigate these risks and ensure compliance with client investment restrictions, product mandates and regulatory thresholds. Your ability to handle high volumes of work under tight deadlines while maintaining accuracy will be key to your success.

* Monitor investment guidelines on a pre and post-trade basis in Aladdin and internal systems.
* Escalate potential breaches of regulatory and client investment restrictions promptly.
* Provide guidance to business units on relevant investment compliance issues.
* Assist with ad-hoc investment guideline coding amendments.
* Participate in regulatory examinations and internal audits.
* Participate in other department or corporate projects as requested.

What you bring:
The ideal candidate for the Guideline Monitoring Compliance Senior Associate/Associate Director role brings a wealth of asset management experience, specifically in compliance or middle office PM assistance. With at least 5-10 years’ experience in guideline management, you are familiar with Aladdin or similar OMS/Compliance systems such as Bloomberg AIM, Charles River, Sentinel & thinkFolio. Your understanding of EU Regulation particularly UCITS & AIFMD in addition to US regulations sets you apart. Your strong interpersonal skills coupled with your organisational and analytical abilities make you an effective team player who can deliver results.

* Minimum of 5-10 years’ asset management experience
* Minimum 5-10years’ guideline management experience.
* Understanding of EU Regulation particularly UCITS & AIFMD in addition to US regulations.
* Strong interpersonal skills; possess very strong organisational and analytical skills; must be very detail oriented.
* Ability to handle high volumes of work under tight deadlines while maintaining accuracy.
* Strong ability to comprehend highly technical regulatory requirements.
* Good working knowledge of order generation and dealing process/risk control.

What sets this company apart:
Our client is a leading asset management firm that values its associates as much as its clients. They recognise and reward those who work diligently for them, appreciating personal and professional integrity, communication skills, distinct competencies and expertise in specific strategies. They are committed to the interests of their clients and offer a supportive and inclusive work environment where you can grow your career.
What’s next:
Ready to take the next step in your compliance career? Don’t miss this exciting opportunity!
Apply today by clicking on the link. We look forward to receiving your application.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates