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Guideline Monitoring Manager - Asset Manager

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Emma Karslake

  • Contact email:

    emma@rutherfordsearch.com

  • Published:

    12 days ago

  • Expiry date:

    2020-08-31

​Our client is a leading asset manager with a diversified range of actively-managed products. They are a global business supporting individual and institutional investors.

An opportunity has arisen for an Compliance Manager to join Investment Guideline Compliance. The successful candidate will be a monitoring resource, for both investment restrictions and threshold disclosures. This is a highly visible role within the firm and offers the successful candidate substantial breadth of experience within a dynamic environment.


The objective of the Investment Guideline Compliance team is as follows:

  • Oversight and support to all fund management desks and the central dealing function in respect of investment guideline related matters;

  • Investigate, prepare and generate market disclosures for threshold crossings.

  • Investment guideline monitoring of pre and post trade alerts;

  • Working with client services teams to prepare for account on-boarding and closing;

  • Working with operational teams to address any challenges arising from exceptions;

  • Preparation of reporting documentation for review by senior management;

  • Represent compliance interests in business projects and working groups;

  • Provide advice and guidance to the business on regulated fund and segregated mandate guidelines;

Duties and responsibilities
  • Timely identification, investigation and communication of investment guidelines related issues.

  • Investment guideline monitoring of Charles River pre, post and batch trade alerts and warnings.

  • Research breaches to determine whether they are passive or active and consequently advise on associated actions.

  • Clear communication with relevant stakeholders on breach related matters.

  • Ability to interpret investment guidelines within fund documentation (operational, client specific, regulatory).

  • Generation of thresholds disclosures (Long, Short and Takeover) for the market.

  • Support the Head of EMEA Guideline Compliance with the preparation of business and committee reporting.

  • Carry out additional duties as assigned.

Technical skills and qualifications
  • The IMC or IAQ qualification is desirable although not essential.

  • Previous experience in Investment Guidelines is essential.

  • Systems: Charles River experience is preferred however not essential, suitable experience within the pre/post trade monitoring space is necessary.

  • Technical Knowledge: Working experience in the key regulatory issues and rule areas impacting our client.

  • Products: Ideally experience across a range of product and instrument types including UCITS.

Competencies required

In addition to putting clients first, acting like an owner, and succeeding as a team, the competencies for this role include:

  • Teamwork: Ability to work in multiple teams and leverage internal and external networks.

  • Communication: Ability to communicate clearly and with confidence (verbally and in writing) with team members and key business representatives i.e. fund managers, dealers etc.

  • Problem Solving: Ensuring complex regulation and its impact are communicated effectively.

  • Risk Management: Understand potential risk issues facing the team and escalate.

  • Leadership: Take ownership of the remediation of issues when identified.

  • Good planning, organizational and prioritisation skills are essential.

  • Ability to work effectively under pressure and meet tight deadlines.

  • Support and train junior members of the team.