Compliance Analyst – Guideline Monitoring
- Salary£45k - £50k Annually
- LocationCity of London, London
- SectorFund/Asset Management
- Referencecompl3818
- PublishedMarch 11th 2010
THE COMPANY:
Our client is an instantly recognisable Asset Manager who has in excess of £100 billion FUM. They provide investment solutions for both Private and Institutional Investors
THE RESPONSIBILITIES:
- Utilises the Charles River Compliance system for regulatory and investment guideline monitoring on both a pre- & post trade basis.
- Assist with applying the rules and developing the coding
- Responsible for reviewing exceptions generated by the systems and liaising with the investment professionals, Client Service staff & other areas of the business to establish whether breaches of client investment agreements have occurred.
EXPERIENCE REQUIRED:
- Strong experience in using Charles River or equivalent Guideline Monitoring System, for guideline coding, testing and monitoring is essential.
- Asset Management experience
- Good understanding of equity, fixed income, currency, and exchange traded and OTC derivatives (interest rate, credit default and inflation swaps / spreadlocks) is essential.
