Leading Asset Management Investment Firm is seeking an experienced Investment Compliance Analyst
$95,000 - $110,000
Investment Compliance Analyst Position Summary:
- Ensure compliance for all portfolios
- Our Investment Compliance Analyst is a key member of the Investment Compliance Leadership team.
Investment Compliance Analyst Responsibilities
- Ensure compliance with the industry's laws and regulations.
- Examine practices and policies within the business, identify areas where they are out of compliance, and offer suggestions for how to make necessary modifications.
- Regular review and research into governing authorities' current rules and regulations
- Analyze pre-trade, post-trade and batch compliance alerts
- Conduct test trades for deals, corporate actions and in-kind transitions and reviews results to ensure compliance with all account restrictions
- Oversee and manage manual processes items not coded into CRD
- Identify and react on potential compliance violations to management and if necessary, participates in the violation resolution process
- Improve / enhance efficiency for process improvement
- Minimize risk by looking for opportunities to make the compliance monitoring process more accurate, concise, and efficient
- Advise, recommend and implements solutions to automate manual rules, integrate new compliance functionality and leverage data as a result of system upgrades
- Afford Best Practices with the Charles River system
- Challenges the status quo: Critically evaluates existing policies and procedures, and practices and proposes innovative solutions to enhance effectiveness and address emerging challenges
- Proactively monitor compliance alerts to identify trends and areas for improvement in the rule library ensuring it remains relevant and effective
- Leads and collaborates on projects: Takes ownership of medium-sized projects of moderate complexity to achieve project goals and deliver impactful outcomes
- Assesses the impact of change: Evaluates the implications of regulatory changes, new investment strategies, products and derivative instruments on compliance processes and contributes to the development of impactful solutions
- Develops clear and comprehensive documentation: Develops user-friendly documentation, procedures and process controls to ensure clarity, consistency and transparency
Investment Compliance Analyst Qualifications:
- Bachelor's degree or the equivalent combination of education and relevant experience
- 5+ years of total relevant work experience
- Experience with various Trading systems, specifically with knowledge of Charles River Compliance System (CRD) or comparable compliance platform, Clearwater experience is a plus
- Solid industry knowledge of investment securities; stocks, bonds, derivatives
- Proven analytical skills within the area of investment compliance
Please send your Investment Compliance Analyst Resume promptly to
To learn more about the Investment Compliance Analyst position please Call Tim >
"Feel free to call 7 days a week M-F > 7am to 7pm or weekends > Noon to 7pm"