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.