Investment Compliance Analyst
2 days ago
We are seeking a
detail-oriented and analytical Investment Compliance Analyst
to join our team. The ideal candidate will have a strong understanding of investment instruments and the ability to interpret and apply investment guidelines effectively. This role requires hands-on experience in investment compliance functions, including coding and post-trade monitoring, using leading industry solutions.
Key Responsibilities
- Investment Compliance Monitoring:
Conduct coding and post-trade compliance checks to ensure adherence to investment guidelines and regulatory requirements. - Guideline Interpretation:
Analyze, interpret, and implement investment guidelines for various instruments, ensuring alignment with client and regulatory standards. - Compliance Tools Management:
Utilize platforms such as
Sentinel, Aladdin, Bloomberg AIM, or Charles River Development (CRD)
for compliance processes. - Reporting and Documentation:
Prepare accurate compliance reports and maintain thorough documentation for audit and client purposes. - Collaboration:
Work closely with portfolio managers, risk management teams, and other stakeholders to address compliance issues and ensure timely resolution. - Process Optimization:
Continuously identify and implement improvements in compliance processes and procedures.
Key Competencies
- Investment Instruments Knowledge:
Strong understanding of equities, derivatives, and fixed-income instruments. - Analytical Skills:
Ability to apply logical reasoning and interpret complex investment guidelines. - Technical Expertise:
Proficiency with at least one compliance platform (
Sentinel, Aladdin, Bloomberg AIM, or CRD
). - Microsoft Office Proficiency:
Strong working knowledge of Excel, Word, and other MS Office applications. - Communication Skills:
Excellent written and verbal communication abilities to convey compliance matters effectively to diverse stakeholders.
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