Job Overview

Portfolio compliance monitoring officer

Location: London, United Kingdom Salary: £Competitive
Type: Permanent Contact: Jas Sumal
Posted: 12 months ago

A leading investment manager is looking for an investment guidelines officer to join the trade monitoring team.

Key responsibilities:

  • Pre/post trade guideline monitoring; including investigation and resolution
  • Coding of guideline requirements into systems
  • Surveillance monitoring; including investigation and resolution
  • Develop and implementation of guideline tests


  • Minimum 3 years’ experience of investment guideline monitoring in asset management.
  • Understanding and application of UCITs regulations.
  • Previous experience with monitoring systems such as Aladdin, thinkFolio, Sentinel or Charles River.
  • Strong communication and presentations skills.
  • Able to manage conflict situations and come to appropriate solutions.