Senior Guideline Monitoring Analyst
Core
Ensures 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
Builds
Investment compliance operations and guideline monitoring systems
Domain
Asset Management / Investment Operations
Required skills
Investment types (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, Attention to detail, Computer skills (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; Collaborate with Global Relationship Teams, Product Management, and Portfolio Management; Develop deep understanding of investment strategies relative to client guidelines and regulatory requirements
Seniority
Senior, hands-on IC