Investment Compliance Analyst

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.