Compliance Monitoring / Investment Guidelines Analyst

  • competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Mayford James
  • 18 Feb 19

Our Asset Management Company is looking for a Compliance Monitoring / Investment Guidelines Analyst to oversee their compliance monitoring programme requirements. The role requires good communication skills as the successful candidate will have to liaise directly with front, middle and back office teams within the company.


  • Checking the daily compliance exception monitoring reports, investigate and resolve any exceptions
  • Responding to client related enquiries raised by the Client Services team in a timely manner, identifying any potential issues and propose practical solutions. 
  • Completion of the compliance monitoring programme
  • Interpret the Investment Guidelines and set up rules in Charles Rivers
  • Supervising the team and offshore provider



  • Proven track record in Compliance monitoring
  • Good knowledge monitoring investment guidelines
  • Previous experience in setting up/coding the investment guidelines into the Investment Management system
  • Strong communication skills on all levels, verbally and in written 
  • Systems knowledge of Charles River, Bloomberg AIM, Apollo or other compliance systems