Investment Compliance Analyst OH

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 > 614.310.0331 "Feel free to call 7 days a week M-F > 7am to 7pm or weekends > Noon to 7pm"#INFEB2025 #INMAR2025#ZRCFS#LI-TB1

Created: 2025-03-04