Job Description

Leading Asset Management Investment Firm is seeking an experienced Investment Compliance Analyst

$95,000 - $110,000

Investment Compliance Analyst Position Summary:

• Ensure compliance for all portfolios
• Our Investment Compliance Analyst is a key member of the Investment Compliance Leadership team.

Investment Compliance Analyst Responsibilities

• Ensure compliance with the industry's laws and regulations.
• Examine practices and policies within the business, identify areas where they are out of compliance, and offer suggestions for how to make necessary modifications.
• Regular review and research into governing authorities' current rules and regulations
• Analyze pre-trade, post-trade and batch compliance alerts
• Conduct test trades for deals, corporate actions and in-kind transitions and reviews results to ensure compliance with all account restrictions
• Oversee and manage manual processes items not coded into CRD
• Identify and react on potential compliance violations to management and if necessary, participates in the violation resolution process

• Improve / enhance efficiency for process improvement
• Minimize risk by looking for opportunities to make the compliance monitoring process more accurate, concise, and efficient
• Advise, recommend and implements solutions to automate manual rules, integrate new compliance functionality and leverage data as a result of system upgrades
• Afford Best Practices with the Charles River system
• Challenges the status quo: Critically evaluates existing policies and procedures, and practices and proposes innovative solutions to enhance effectiveness and address emerging challenges
• Proactively monitor compliance alerts to identify trends and areas for improvement in the rule library ensuring it remains relevant and effective

• Leads and collaborates on projects: Takes ownership of medium-sized projects of moderate complexity to achieve project goals and deliver impactful outcomes
• Assesses the impact of change: Evaluates the implications of regulatory changes, new investment strategies, products and derivative instruments on compliance processes and contributes to the development of impactful solutions
• Develops clear and comprehensive documentation: Develops user-friendly documentation, procedures and process controls to ensure clarity, consistency and transparency

Investment Compliance Analyst Qualifications:

• Bachelor's degree or the equivalent combination of education and relevant experience
• 5+ years of total relevant work experience

• Experience with various Trading systems, specifically with knowledge of Charles River Compliance System (CRD) or comparable compliance platform, Clearwater experience is a plus
• Solid industry knowledge of investment securities; stocks, bonds, derivatives
• Proven analytical skills within the area of investment compliance

Please send your Investment Compliance Analyst Resume promptly to

To learn more about the Investment Compliance Analyst position please Call Tim >

"Feel free to call 7 days a week M-F > 7am to 7pm or weekends > Noon to 7pm"

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