Investment Compliance Analyst

Leading Asset Management Investment Firmis seeking an experiencedInvestment Compliance Analyst$95,000 - $110,000Investment Compliance AnalystPosition Summary:Ensure compliance for all portfoliosOur Investment Compliance Analyst is a key member of the Investment Compliance Leadership team.Investment Compliance Analyst ResponsibilitiesEnsure 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 regulationsAnalyze pre-trade, post-trade and batch compliance alertsConduct test trades for deals, corporate actions and in-kind transitions and reviews results to ensure compliance with all account restrictionsOversee and manage manual processes items not coded into CRDIdentify and react on potential compliance violations to management and if necessary, participates in the violation resolution processImprove / enhance efficiency for process improvementMinimize risk by looking for opportunities to make the compliance monitoring process more accurate, concise, and efficientAdvise, recommend and implements solutions to automate manual rules, integrate new compliance functionality and leverage data as a result of system upgradesAfford Best Practices with the Charles River systemChallenges the status quo: Critically evaluates existing policies and procedures, and practices and proposes innovative solutions to enhance effectiveness and address emerging challengesProactively monitor compliance alerts to identify trends and areas for improvement in the rule library ensuring it remains relevant and effectiveLeads and collaborates on projects: Takes ownership of medium-sized projects of moderate complexity to achieve project goals and deliver impactful outcomesAssesses 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 solutionsDevelops clear and comprehensive documentation: Develops user-friendly documentation, procedures and process controls to ensure clarity, consistency and transparencyInvestment Compliance Analyst Qualifications:Bachelor's degree or the equivalent combination of education and relevant experience5+ years of total relevant work experienceExperience with various Trading systems, specifically with knowledge of Charles River Compliance System (CRD) or comparable compliance platform, Clearwater experience is a plusSolid industry knowledge of investment securities; stocks, bonds, derivativesProven analytical skills within the area ofinvestment compliancePlease send your Investment Compliance Analyst Resume promptly 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