Senior Guideline Monitoring Analyst
Core
Ensure investment transactions and holdings comply with client guidelines and regulatory requirements by reviewing agreements, coding rules, and resolving post-trade exceptions.
Role type
Senior Guideline Monitoring Analyst (Investment Operations)
Builds
Compliant investment portfolios for institutional clients
Domain
Asset Management / Investment Operations
Required skills
Investment types (equity, fixed income, derivatives), Guideline monitoring, Investment operations, Regulatory regimes (UCITS, AIFMD, German/Swiss Regs), ION Sentinel system, Pre-trade support, Post-trade exception resolution
Preferred skills
AI-enabled productivity tools (ChatGPT, Claude, Microsoft Copilot), Excel, Word
Responsibilities
Review Investment Management Agreements and evaluate client guidelines, Code rules and maintain the guideline monitoring system (ION Sentinel), Perform real-time pre-trade support with investors, Resolve post-trade incident exceptions generated from Sentinel, Develop deep understanding of investment strategies relative to client guidelines and regulatory requirements
Seniority
Senior, hands-on IC