Client Guideline Management


White Plains, NY

Industry: Financial Services


Less than 5 years

Posted 362 days ago

  by    Harold Mayer

The Client Guideline Management (CGM) is responsible for the daily management of client guidelines through multiple compliance systems, most notably, Fidessa Sentinel. We ensure that investment guideline restrictions are maintained and followed; ensuring proper notification of guideline compliance is dispersed to all relevant parties.

We are seeking a White Plains based Analyst to join our Client Guideline Management team in IMO Management – Portfolio Services department.

The role performs various Investment Compliance tasks including coding, post-trade monitoring and ad hoc functions. The individual will be expected to work as a part of a team and will need to be able to communicate effectively with various internal and external clients.

The Client Guideline Management Analysts support and/or deal with the following internal clients – Portfolio Managers, Assistant Portfolio Managers, Traders, TradeSupport, Legal and Compliance, Sales, and Risk. On a daily basis the Analyst will use Sentinel, Linedata, Microsoft Excel and Microsoft Office; internal applications such as Apex, Portfolio Management System, ACE, and Global Optimizer (GO); and use multiple vendors such Bloomberg.

The key job responsibilities include, but are not limited to:

  • Read, identify, and interpret investment restrictions from guidelines and various other sources used for effective account management.
  • Code rules into our compliance applications from client guidelines.
  • Test new investment restrictions in UAT and document test cases to ensure coding is accurate in Compliance systems.
  • Perform data integrity checks in the compliance applications and address gaps by working with Data Management and Technology to source or update information.
  • Develop and perform manual testing for portfolio constraints/rules that cannot be coded into the compliance systems.
  • Based on the results of automated and manual tests, assist Compliance team in researching potential incidents/breaches.
  • Provide reporting on incidents/breaches and their ultimate resolution.

Produce reports, document records, maintain and archive such records and reports.

Job Qualifications 

  • Bachelor’s degree.
  • 2+ years’ experience in the financial services industry; compliance experience is ideal.
  • Experienceworking with a team and meeting time sensitive deadlines.
  • Experience with compliance tools is a plus, though we would consider training someone.


  • Our analysts typically have track records of outstanding professional performance or academic achievement, along with excellent analytical skills, financial skills, technical skills, attentions to detail and as well as strong communication skills. Candidates should have a strong ability to work in a collaborative environment and to present results to both expert and non-expert audiences. The Candidate should be outgoing, work well in a team setting, and handle changes in a positive outlook.
  • Familiarity with Fixed Income instruments is a plus.

What makes this role unique and interesting?

This role will expose the Analyst to many functional areas within the investment management process, including sales, portfolio management and risk; the analyst will also have the opportunity to learn about the data required to support the client guidelines process, and gain an appreciation for the complexity of the instruments we invest in. The engagement with both front office/trading/portfolio management and back office/technology areas, makes this role especially interesting and challenging. The exposure to multiple business areas – including Fixed Income, Equity and Multi Asset – will provide the analyst with broad exposure to the different business disciplines. The role consists of daily fixed responsibilities and duties; however the individual will also be expected to help with many projects and ad hoc tasks.

What is the professional development value of this role? The Analyst will learn a lot about all of the different products that AB offers and the differences between them. They will also have a lot of contact with the front office making this a demanding and rewarding position.

Location: White Plains / New York / United States

$80K - $100K