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Operations Guideline Monitoring - City, London, United Kingdom, EC1A2


  • Do you have Operations Trade Guideline Monitoring experience?
  • Experience ideally gained within an Asset/Investment Management or related firm?

Operations Guideline Monitoring

Global award winning Investment Management firm is going through a period of expansion due to an increase in client activity. Our client, based in stunning London offices is after someone who has Guideline Monitoring experience across pre and post trade processes.

Operations Guideline Monitoring

  • Pre Trade: Implementing the Fails override process for orders generated
  • Post Trade: Management of the breach investigation process for all mandated accounts and notification to investment teams/compliance.
  • Validation of non-programmable guideline restrictions.
  • Presenting management information (MI) and other management reporting
  • Accurate assessment of pre-trade fails to ensure that no breaches of client mandated and regulatory rules remain undetected. This will include making appropriate trade related recommendations to the various investment teams to facilitate prompt remediation of any inappropriate overrides.
  • Appropriate escalation of operational incidents and guideline breaches to senior management and notification to Compliance/Organisational Risk as required.
  • confirm and resolve real post-trade guideline breaches. This includes provision of all relevant information and/or documentation to support the investigation.
  • Project work

All applications are welcome and will be reviewed for this excellent Operations Guideline Monitoring role.