A leading investment firm is seeking a Senior Compliance Analyst to join their growing team in a brand new role. Previous investment guideline coding experience is preferred yet not essential.
Key Responsibilities & Duties:
* Collaborate and consult with internal stakeholders including Investment, Trading, Legal, Operations, ESG, Data and Client Services teams to ensure terms of the contracts and agreements can be accurately monitored within Charles River, and establish new processes as needed.
* Contribute to the review of legal documents and subsequent coding of logic-based investment guideline rules into Charles River for automated testing.
* Anticipate and provide solutions to complicated problems and be capable of presenting them in a clear and compelling manner.
* Work to improve the daily guideline oversight monitoring process within CRD to reduce manual testing and increase efficiency.
* Ensure timely and accurate completion of assigned and delegated workloads.
The role requires:
* At least 2 years’ experience in guideline management compliance, with a specific focus on fund management and dealing functions.Charles River experience is preferred. Practical knowledge of coding investment restrictions within an order management system, such as Charles River, Aladdin, Enfusion, Bloomberg AIM, or ThinkFolio.
* An understanding of the key regulatory frameworks and rule areas affecting the business, including, but not limited to, regulations under UCITS, AIFMD, and the 40 Act rules.
* Familiarity with Microsoft SQL and Excel would be beneficial.
* The IMC or IAQ qualification is desirable although not essential.
* Strong analytical skills, attention to detail and ability to exercise balanced judgment and decision making.
* Solid understanding of equity and fixed income securities and derivatives products required.
* High energy, positive demeanor, enthusiastic, professional, with a strong work ethic.
* Pro-active and self-sufficient with ability to escalate where appropriate.
* Strong interpersonal and customer service skills
* Solid knowledge of fund management processes, instruments, products and funds.
* Understanding of current and proposed regulatory requirements impacting the Funds Management industry a plus.
* Good planning, prioritization, problem solving, and organizational skills are essential.
* Ability to work effectively under pressure and meet tight deadlines.