Guideline Monitoring Senior Analyst
Core
Ensure investment transactions and holdings comply with client guidelines and regulatory requirements by reviewing agreements, maintaining the Sentinel monitoring system, and resolving post-trade exceptions.
Role type
Senior Guideline Monitoring Analyst (Investment Operations)
Builds
Compliant investment portfolios for institutional clients
Domain
Global Capital Markets (Equity, Fixed Income, Derivatives)
Deliverable
production ML models | product features | dashboards & analysis | client delivery
Required skills
Investment types knowledge (equity, fixed income, derivatives), Guideline monitoring, Regulatory compliance, Pre-trade support, Post-trade exception resolution, System maintenance (Sentinel), Financial analysis
Preferred skills
Prior investment operations or compliance experience, Understanding of regulatory regimes
Technologies
Sentinel, Microsoft Word, Microsoft Excel
Responsibilities
Review Investment Management Agreements and evaluate client guidelines, Perform real-time pre-trade support with investors, Resolve post-trade incident exceptions from the monitoring system, Collaborate with Global Relationship Teams and Portfolio Management, Develop deep understanding of investment strategies relative to guidelines
Seniority
Senior, hands-on IC