Senior Investment Compliance Analyst

  • Location: London, United Kingdom
  • Salary: Competitive
  • Organization: Investment Management

Our client is searching for a team member for Investment Guideline team, which is part of the Investment Portfolio Compliance function at the company. The position is based in London.

As a Senior Investment Compliance Analyst, you are part of a cooperative Global Investment Portfolio Compliance team which works directly with Global Portfolio Managers in addressing queries and advising on technical matters, and will be responsible for providing effective, efficient, high quality, proactive compliance coding and systems development services that address both business and regulatory requirements.


  • Responsible and primary focused on monitoring, analyzing and following up of portfolios to ensure investment guideline/mandate client, regulatory and internal investment compliance
  • Being a bridge between Global Portfolio Managers and the Investment Portfolio Compliance team where knowledge is transferred between the two areas for a more efficient and compliant process
  • Reviewing and commenting on Investment and Regulatory guidelines as and when Global Portfolio Managers may seek clarifications
  • Setting up, administering investment accounts for Global Portfolio Managers and Compliance purposes
  • Assisting Global Portfolio Managers and Client Account Management to better understand specific investment and regulatory constraints in a timely manner
  • Developing and maintaining of the internal compliance system which holds details of the restrictions Global Portfolio Managers may query
  • Investigating investment queries with a view to provide impartial analysis and communicate reportable instances to senior management
  • Being involved in projects which aim to enhance the processes and systems between Global Portfolio Managers and Investment Portfolio Compliance


  • Thorough knowledge of financial instruments including derivatives as well as regulatory provisions across jurisdictions
  • Significant practical experience of at least one industry recognised compliance monitoring system ie Charles River, Bloomberg, Aladdin, Sentinel, Thinkfolio, MIG21 etc
  • 3+ years’ experience in the Financial Services industry
  • Bachelor’s Degree or higher, preferably in Business, Finance or related subjects
  • Team player and ability to build positive relationships internally and externally
  • Proficient in Microsoft Word, Excel, Access
  • Organizational Skills / Attention to Detail
  • Ability to work independently, but also a “team player”
  • Ability to multi-task in a fast paced environment
  • Ability to problem solve and spot issues proactively
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