Guideline Monitoring Manager

  • Location:

    London, England

  • Sector:


  • Job type:


  • Salary:

    £60000 - £90000 per annum

  • Contact:

    Matthew Pollard

  • Job ref:


  • Published:

    8 months ago

  • Expiry date:


  • Start date:


Guideline Monitoring Manager

As part of the Global Guideline monitoring team you will be expected to get involved and provide advice and support for teams in other jurisdictions as well as leading other junior members of the team, they are currently bringing the coding of their system in house and therefore will expect individuals within the team to take a more active role around the coding aspects of their system.

Role/Team Purpose

Provides complete, independent and timely pre and / or post trade monitoring of all guideline, regulatory and other house restrictions. Provide insight to the business and protects/prevents against guideline/mandate and other rule breaches. This team sits as part of the wider compliance and operations functions within the group.

Required Skills and experience

  • Knowledge and experience of using one of the following Charles River, Aladdin, MIG21, Sentinel, Thinkfolio ect…
  • Pre and Post trade monitoring
  • Some experience of coding would be beneficial but not essential
  • Knowledge of investment products within a banking or Asset management environment.
  • Knowledge of funds


  • Providing advice to the business on the design of new rules in mandates, setting and communicating the standards required to ensure automation and efficient re-use of existing rules.
  • Maintain the completeness and accuracy of all rules in accordance with mandate / prospectus guidelines and house rules.
  • Regularly confirm that all mandates / prospectuses are in scope.
  • Maintenance of stop lists and other restricted in-house rules on pre trade systems.
  • Advises the business on the effectiveness of processes and leads on changes / new areas.
  • Ensures new / amended mandate rules are in place before effective date.
  • Mandate monitoring team provides timely review of new / amended mandates to relevant Functions.
  • Operates a zero acceptance of new non-automated rules and maintains evidence of any risk acceptance by Executive members (or their agreed delegate).
  • Actively reduces / maintains the number of existing non-automated rules to within appetite.
  • Provide timely support to the Front Office on queries relating to pre and post trade rules and exceptions.
  • Where processes rely on other teams (such as Investment Risk and Operational Risk Reporting) takes responsibility to ensure these processes are seamless and effective.

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