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A prestigious Investment Manager are seeking someone to join their Guideline Monitoring team.
This role will focus on providing support to investment teams to ensure investment transactions and holdings are compliant with client guidelines and regulatory requirements. The ideal candidate will be part of the team that implements coding and maintains the guideline monitoring system, Sentinel, performs real time, pre trade support with investors, and resolves post trade incident exceptions generated from Sentinel.
Qualifications for this position include a strong working knowledge of all investment type, including equity, fixed income products and derivative securities. Prior experience monitoring investment guidelines, working in an investment compliance role, understanding regulatory requirements for 40 Act and UCITs funds, and coding investment restrictions into a vendor or proprietary compliance monitoring system, specifically Sentinel is a plus.
In addition to a University undergraduate degree, a minimum of 2 3 years of work experience in the financial services industry are required. Advanced degree work, including CFA designation or other professional certification would be a plus.