Investor Guideline Specialist

Rutherford is working with a global asset manager to appoint a Guideline Monitoring Specialist into their London-based compliance function. Reporting directly to the Head of Compliance, this is an exciting opportunity to join a high-performing team with broad exposure across investment strategies and jurisdictions. The role will involve close collaboration with investment teams and provide a blend of pre- and post-trade compliance responsibilities alongside wider monitoring duties.

Key Responsibilities:

• Conduct pre- and post-trade investment compliance checks and support the wider monitoring function.
• Serve as a point of contact for investment teams regarding compliance-related queries.
• Support the day to day Compliance Monitoring function
• Assist in monitoring areas such as best execution, restricted lists, and market abuse.
• Provide support on broader compliance matters, including PA dealing and regulatory filings (e.g. shareholding disclosures).
• Help maintain and improve internal systems and controls related to investment compliance.

Candidate Profile:

• At least 5 years' experience in a compliance or investment guideline monitoring role within asset management or a similar financial institution.
• Proficiency with Bloomberg AIM is desirable.
• Good understanding of investment products and regulatory frameworks including UCITS, 1940 Act and AIFs.
• Familiarity with equity investment strategies and working alongside front office teams.
• Strong communication and interpersonal skills, with the ability to manage a variety of stakeholders.
• Educated to degree level or equivalent.