Guideline Monitoring - Assistant Manager

Finshore Partners
London, United Kingdom
£60 - £80k p/a
17 Jan 2019
22 Jan 2019
Job Function
Industry Sector
Finance - General
Employment Type
Full Time


Reporting to the Guideline Monitoring - Manager (GMM), your role will be to work with the GMM and the compliance monitoring team to provide an effective guideline and surveillance monitoring function for our clients organisation. The role will focus primarily on:

  • Providing daily pre & post trade monitoring of investment guidelines as provided by client, fund, regulator or other internal documents
  • Required activities including coding as accounts are on-boarded, amended or terminated;
  • Other regulatory monitoring and surveillance (topics such as market abuse, best execution, email/chat, insider/restricted lists etc.).

Key Tasks and Responsibilities:

  • Pre-trade investment guideline monitoring, investigation and incident resolution.
  • Post-trade investment guideline monitoring, investigation and incident resolution.
  • Develop and execute manual investment guideline tests.
  • Assist with the Onboarding of new clients & funds by reviewing and commenting on draft IMA's / Prospectus / Regulatory documents etc.
  • Coding of investment guideline requirements into the firms systems.
  • Daily Market Abuse surveillance monitoring, investigation and incident resolution.
  • Maintenance and oversight of the firm's stop / insider lists.
  • Development and monitoring of Best Execution.
  • Monitoring of email and chat.
  • Assist with the maintenance and update of the department procedure documents.
  • Assist with or lead other projects or initiatives as required.


Responsibilities will span the range of business activities undertaken by our client, the legal structures underlying them and the regulatory risks involved, main areas being:

  • Investment Management - a variety of active portfolios
  • Public markets capabilities include high active share equities, specialist credit and multi asset.
  • Private markets including real estate, infrastructure, private equity and private debt.
  • Our clients EOS (Equity Ownership Service), one of the world's largest stewardship resources.
  • Client Base - segregated mandates, regulated and unregulated collective investment schemes.

Legal / Regulatory Scope:

  • The FCA rulebook and relevant EU Directives (MiFID, AIFMD, EMIR, MiFIR …)
  • UCITS Directive (Irish)
  • Other regulations may additionally apply, e.g. SEC, ERISA, US 40Act, CFTC, MAS.


Board / Governance Committees / Projects:

  • Attend project committees as required.

Decision Making Authority:

  • Provide advice to the GMM on monitoring requirements and procedures.
  • Provide recommendations for resolution of pre / post-trade incidents.

Experience Required:

  • Investment guideline monitoring experience from within the asset management industry.
  • Surveillance monitoring experience from within the financial services industry.
  • Good knowledge and practical understanding and application of the UCITs regulations.
  • Experience of coding investment guidelines into monitoring systems.
  • Experience of monitoring using an industry leading system such as thinkFolio, Sentinel, Charles River or Aladdin.
  • Experience of a wide range of investment products (Equities, Fixed Income and Derivatives).
  • Degree qualification and or equivalent industry related qualification (IMC, CFA etc.).

If you feel this role is of interest and you have the skills and experience required, please do get in touch.

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