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London - £400 per Day Contract Posted: Wednesday, 13 September 2017
Applicants must be eligible to work in the specified location

Portfolio Compliance Analyst Investment Guidelines Onboarding Asset Management Regulatory Monitoring

Our client is one of the world's leading and most respected Asset and Investment Management organisation's. Based in the London office this is an opportunity for someone with prior relevant experience to work in their Portfolio Compliance Investment Guidelines team.


The Portfolio Compliance Group is one of the core functions within the Business Operations Group. Portfolio Compliance is responsible for implementing controls & processes, to ensure we are portfolio compliant with all applicable regulatory and portfolio issued guidelines. This relates to trading and investments, including pre- and post-trade compliance mutual fund monitoring and reporting; global syndicate offering review; ERISA & Fiduciary monitoring, and Global Thresholds reporting.

The Portfolio Compliance Investment Guidelines team in London is primarily responsible for onboarding activities (extracting, analysing, coding) and monitoring client, regulatory and internal investment guidelines on the firm's system for EMEA-based clients and funds. The group is engaged with and provides services to many other departments across the firm, in particular: Portfolio On-Boarding, Portfolio Management, Trading, Global Client Group, Operations and Legal & Compliance.

The specific role, based in London will be primarily focused on Investment Guidelines activities for the EMEA business.


  • Pre-trade violation investigation & investment restriction overrides
  • Post-trade violation investigation & resolution
  • Account coding and coding reviews
  • New account onboarding activities
  • Manual test execution
  • Oversight of outsourced testing
  • Identification of coding issues
  • Documentation of procedures
  • Process/system enhancements
  • Maintenance of Legal & Compliance Restricted Lists
  • Client certifications/attestations
  • Projects as required


  • Experience of working in the investment management industry and experience of investment products preferred
  • Strong communication skills
  • Ability to self-manage workloads and work to deadlines
  • Strong team player
  • Analytical mind and approach
  • Attention to detail
  • Pro-active approach to issue resolution
  • Ability to recognize individual and team objectives and goals
  • Ability to facilitate compromise between conflicting requirements or points of view

London, UK
6 months (Extension likely thereafter)
£400 per Day
james joseph associates
george baraczewski 
13/09/2017 22:59:12

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