Compliance Analyst

This leading global Asset Manager has more than $7 billion AUM. Due to continued growth, they are looking for a Compliance Analyst to join the existing Compliance function, carrying out pre- and post-trade investment guideline monitoring. Reporting to the Investment Compliance Manager for London, you will support the Firm's Portfolio Managers across a broad range of products.

Your key responsibilities will include:

  • Interpreting pre- and post-trade investment guidelines
  • Researching and resolving compliance and client investment issues
  • Supporting Portfolio Managers across a broad range of asset classes
  • Involvement in various compliance initiatives as required
  • Supporting the Investment Compliance Manager with the implementation of guideline information for new accounts, revisions and updates
  • Working closely with Portfolio Management, Sales & Relationship teams, Operations groups and other senior stakeholders as required

Ideally, you will have good experience in similar Investment Guidelines position within the Compliance function of a blue chip Asset Management firm. You will also have good product knowledge across a range of classes - including equity, fixed income, and derivative securities. Experience with using LZ Sentinel will also hold you at an advantage.

In return, you will have the opportunity to develop your Guidelines experience and grow within a top-tier Asset Management institution.

To discuss this opportunity and others within Asset Management please contact Jas Hothi on 020 3145 3368 or at

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