Compliance Guideline Monitoring - Leading Asset Manager

Key Responsibilities:

• Utilise the Charles River Investment Management System to monitor and enforce investment guidelines, ensuring adherence to regulatory requirements and internal policies.
• Management of team supporting on alert monitoring and coding.
• Collaborate closely with portfolio managers, traders, and compliance officers to resolve guideline breaches promptly and efficiently.
• Conduct thorough analysis and investigation of guideline exceptions, providing insightful recommendations for resolution and process enhancement.
• Proactively identify potential compliance risks and recommend proactive measures to mitigate them.
• Continuously optimise and streamline monitoring processes within the Charles River platform to enhance efficiency and accuracy.

Qualifications:

• Strong understanding of investment management principles and regulatory requirements.
• Experience of Guideline Monitoring in asset management
• Proficiency in utilizing the Charles River Investment Management System (or similar) for Guideline Monitoring and compliance.

For details please get in touch