Investment Compliance

Take a Lead role in acquiring, managing and retaining meaningful relationships that deliver outstanding experience to our customers

Job Summary

As a Compliance Reporting Lead within our team, you will play a pivotal role in ensuring that client rules align with investment agreements and adapt to regulatory changes. You will act as a change agent, providing technical expertise for compliance projects and ensuring proper rule coding. Your role will involve developing innovative solutions tailored to client needs, maintaining and updating fund rules, and assisting in breach resolution. You will need to stay informed on industry practices and regulations, and focus on solving complex client requests, interpreting investment mandates, and coding rules. A strong understanding of financial instruments, including derivatives, is essential.

Job Responsibilities

• Create, maintain and test logical rules automatically applied to the financial instruments owned by 's clients
• Ensure that rules are established in accordance with the Client Investment Agreement and adapt them as needed based on regulatory changes.
• Serve as a change agent by providing technical expertise for key compliance reporting projects, offering a comprehensive view of rule coding and identifying any breaches.
• Develop innovative solutions to meet client requirements, including coding within the Compliance Reporting application, while optimizing the existing rule library.
• Understand and address specific client nuances to deliver appropriate and optimal solutions that meet their objectives.
• Maintain and update existing fund rules within the system, adapting solutions to meet the evolving needs of clients in a timely manner.
• Align client requirements with system capabilities and perform necessary maintenance on client accounts.
• Investigate breaches of investment guidelines with investment managers to assist clients in resolving issues, while staying informed about industry practices, product developments, and regulatory changes.
• Focus on solving complex technical requests for global clients, interpreting investment mandates to identify and code rules, and possessing or quickly acquiring knowledge of various financial instruments, including derivatives.

Required Qualifications, Skills and Capabilities :