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