Portfolio Guidelines Senior Associate

Type: Permanent
Location: London

The Ocean Partnership has been engaged to recruit a Portfolio Guidelines Senior Associate to join a global and highly prestigious investment management company. This is a great opportunity to work within a cutting edge Portfolio Compliance team who have a global remit and put the best technology at the heart of what they do.  
As the Senior Portfolio Guidelines Associate, you will be responsible for overseeing a range of Funds and client accounts ensuring that guidelines are set up efficiently.   
Our client values diversity in the workplace and welcomes applications from everyone. If you have a disability and need help with the application process, please tell us.    
Key remits:
  • Reviewing and implementing guidelines and rules as well coding them into the in house compliance system for Funds and client accounts
  • Interpreting client rules, guidelines and regulations to determine how a rule should be coded
  • Performing alternative monitoring processes for restrictions
  • Providing periodic client portfolio compliance statements in a timely fashion to client service teams
  • Resolving client third party administrator and custodian queries regarding potential breaches
  • Maintaining broker rules in compliance system and assisting Trading Desks with queries
  • Assisting with the coding and review of investment restrictions
  • Provide advice on the validity of pre-trade alerts
  • Previous portfolio guideline monitoring experience
  • Excellent knowledge of UCITs investment management restrictions
  • Detailed knowledge of investment management workflows
  • Working knowledge of investment restrictions monitoring capability in Aladdin or other investment restrictions software
  • Excellent commutation skills
Ocean is a recruitment and inclusion consultancy dedicated to the investments industry. Our mission is to lead the recruitment of diverse talent and champion the adoption of more inclusive working cultures to help the industry innovate.  


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+44(0)203 909 8640

E: info@theoceanpartnership.com

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* Assumes 261 working days less 9 bank holidays and 25 non billing days such as holiday etc