Senior Compliance Manager

Job Title: Senior Compliance Manager

Department: Compliance / Risk Management

Location: London

Job Overview- Asset Management

Rutherford are seeking a Senior Compliance Manager to join our client in the Compliance and Risk Management team. In this role, you will be responsible for monitoring investment guidelines, ensuring compliance with regulatory requirements, and maintaining internal control systems related to client mandates and portfolios. You will work closely with portfolio managers, traders, compliance officers, and other stakeholders to identify, report, and mitigate any breaches of investment mandates.

Key Responsibilities

Guideline Monitoring & Compliance:

• Monitor portfolio adherence to client investment guidelines, regulatory restrictions, and internal investment policies.
• Review and validate client-specific mandates, including asset allocation, sector and industry restrictions, and risk parameters.
• Ensure that portfolios are being managed in accordance with agreed-upon guidelines and regulatory requirements.
• Generate reports on guideline violations, portfolio exceptions, and breaches.
• Communicate guideline issues and potential violations to portfolio managers and senior leadership in a timely manner.
• Assist in preparing compliance reports for regulatory filings and internal audits.

Experience:

• 7-10+ years of experience in investment compliance, guideline monitoring, risk management, or a related field, preferably within an asset management or financial services environment.

Skills & Knowledge:

• Strong understanding of investment guideline restrictions as well as pre and post trade monitoring.
• Working with key stakeholder within the business, advising and approving live trades
• Knowledge of compliance systems, regulatory frameworks (e.g., MiFID II, UCITS, AIFMD), and industry standards.
• Proficient in using compliance monitoring software (e.g., Charles River, Bloomberg, or other similar tools).