The Compliance Analyst will work with portfolio managers, relationship management, operations, as well as others in Legal and Compliance and other professionals in interpreting client investment guidelines, resolving compliance issues, researching client guidelines and security issues, and analyzing both pre and post-trade compliance results. The Compliance Analyst is aligned to support a team of portfolio managers by product and will support the Manager of Investment Compliance with implementation of guideline information for new accounts, revisions, and updates to existing accounts in a timely manner. In addition, the Compliance Analyst will be involved in various Investment Compliance initiatives and in assisting with requests for additional compliance analysis or oversight. The Compliance Analyst will display sound business judgment in driving results and creating and implementing creative business solutions to complex compliance issues.
Job Qualifications
Qualifications for this position include a strong working knowledge of equity, fixed income products and derivative securities, as well as prior experience monitoring investment guidelines and working in an investment compliance role. Prior experience with coding investment restrictions into a vendor or proprietary compliance monitoring system would be a plus. The candidate should be self-confident, energetic, have an inquisitive mind, and be controls conscious. Strong organizational skills, an ability to manage assignments with competing priorities, excellent communication skills, and the ability to work both independently and as a member of a team are critical. Attention to detail and computer literacy (knowledge of Word, Excel, and similar tools) are important, as is the desire to learn our compliance monitoring systems, LatentZero Sentinel.
In addition to a college undergraduate degree, a minimum of 3 - 5 years work experience in the financial services industry, law, or a related area are required. Advanced degree work, including CFA designation or other professional certification would be a plus.
