Investment Compliance Analyst

Role Overview: As an Investment Compliance Analyst, you will be responsible for various tasks related to ensuring adherence to investment guidelines and regulatory requirements. Your main duties will involve investment compliance monitoring, guideline interpretation, compliance tools management, reporting and documentation, collaboration with stakeholders, and process optimization. Key Responsibilities: - Investment Compliance Monitoring: Conduct coding and post-trade compliance checks to verify adherence to investment guidelines and regulatory requirements. - Guideline Interpretation: Analyze, interpret, and implement investment guidelines for different instruments to ensure alignment with client and regulatory standards. - Compliance Tools Management: Utilize platforms like Sentinel, Aladdin, Bloomberg AIM, or Charles River Development (CRD) for compliance processes. - Reporting and Documentation: Prepare accurate compliance reports and maintain comprehensive documentation for audit and client purposes. - Collaboration: Work closely with portfolio managers, risk management teams, and other stakeholders to address compliance issues and ensure timely resolution. - Process Optimization: Continuously identify and implement improvements in compliance processes and procedures. Qualifications Required: - Strong understanding of equities, derivatives, and fixed-income instruments. - Ability to apply logical reasoning and interpret complex investment guidelines. - Proficiency with at least one compliance platform (Sentinel, Aladdin, Bloomberg AIM, or CRD). - Strong working knowledge of Excel, Word, and other MS Office applications. - Excellent written and verbal communication abilities to convey compliance matters effectively to diverse stakeholders.,