Sr Guideline Monitoring Analyst
Core
Ensuring investment transactions and holdings comply with client guidelines and regulatory requirements through real-time pre-trade support and post-trade exception resolution.
Role type
Senior Guideline Monitoring Analyst (Investment Operations)
Builds
Compliant investment transactions and holdings for institutional clients
Domain
Global Capital Markets (Equity, Fixed Income, Multi-Asset, Alternative Strategies)
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure | physical/clinical work
Required skills
Investment types knowledge (equity, fixed income, derivatives), Guideline monitoring, Investment operations, Compliance, 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), Self-starter, Results-driven, Controls conscious, Organizational skills, Computer skills (Word, Excel)
Technologies
ION Sentinel, ChatGPT, Claude, Microsoft Copilot, Word, Excel
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