Trade Compliance Analyst

The Investment Compliance Senior Analyst collaborates with, and provides information to a diverse range of stakeholders, including investment personnel, legal counsel, client operations managers, and other internal and external partners. The analyst also participates in and manages projects assigned by the Investment Compliance leadership team.This position sits within the Monitoring team which plays a crucial role in reviewing investment activities as it relates to Compliance Restrictions coded into the firm's investment compliance monitoring system, Charles River (CRD), and supports client reporting on these restrictions.Responsibilities• Communicate effectively through direct interaction with Trading, Investment, Client and Legal associates, demonstrating a strong understanding of global compliance requirements, investment strategies and derivative usage• Analyze pre-trade, post-trade and batch compliance alerts in CRD to assess permissibility. When necessary, liaises with trading, legal, client operations andor investment personnel by assisting with interpretation of guidelines and communications to clients• 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• Proactively identifies and escalates potential compliance violations to management and if necessary participates in the violation resolution process• Actively participates in the Global Client Investment Reporting (GCIR) processTypical Qualifications• Bachelor's degree or the equivalent combination of education and relevant experience AND• 5+ years of total relevant work experience• Experience with TradingIBOROMS systems, specifically with knowledge of Charles River Compliance System (CRD) or comparable compliance platform• Practical understanding of investment security types (e.g. stocks, bonds, derivatives)Salary - $85,000 - $105,000

Created: 2025-02-24