Sr Analyst-Investment Compliance

Overview:

The person would support client’s portfolio compliance team, which is part of the Risk organization, and is referred to Guideline Oversight Team. The mission for the candidate is to do post trade reviews of trades client-mandated investment guidelines. These guidelines are provided by clients at the time of account set-up, and hence are sometimes updated periodically. The guidelines can include many portfolio constraints, such as portfolio diversification, allowable investment types, ESG guidelines, restricted issuer lists, and many others.

Specific Tasks:

The person would be provided with access to a workflow tool which tracks trades and the order management systems (Aladdin). Following will be main responsibilities:

Required skills:

• Understanding of order management system from guideline oversight point of view. Understanding of Aladdin will be a big plus
• Ability to quickly understand and interpret different compliance rules
• Good understanding of MS office suite, particularly excel
• General understanding of investment instruments across asset classes, derivatives, and portfolio investment terminology like “notional exposure, leverage, are also helpful.
• Very good written and oral communication skills
• Experience range 2-5 years
• MBA or equivalent education

  Overview:

  The person would support client’s portfolio compliance team, which is part of the Risk organization, and is referred to Guideline Oversight Team. The mission for the candidate is to do post trade reviews of trades client-mandated investment guidelines. These guidelines are provided by clients at the time of account set-up, and hence are sometimes updated periodically. The guidelines can include many portfolio constraints, such as portfolio diversification, allowable investment types, ESG guidelines, restricted issuer lists, and many others.

   

  Specific Tasks:

  The person would be provided with access to a workflow tool which tracks trades and the order management systems (Aladdin and Charles River). Following will be main responsibilities:

   

• Partner with onshore team members to administer daily post trade compliance responsibilities in applicable order management systems (review and address alerts, communicate with Portfolio Managers, etc.)
• Interact and coordinate with Portfolio Managers, Legal & Compliance, Operations, Technology, Relationship Managers, Operational Risk and Client Service as it relates to investment guideline compliance issues
• Be a part of the other ad-hoc requests / projects related to portfolio compliance / guideline oversight as required

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  Required skills:

• Understanding of order management system from guideline oversight point of view. Understanding of Aladdin and / or Charles River will be a big plus
• Ability to quickly understand and interpret different compliance rules
• Good understanding of MS office suite, particularly excel
• General understanding of investment instruments across asset classes, derivatives, and portfolio investment terminology like “notional exposure, leverage, are also helpful.
• Very good written and oral communication skills
• Experience range 2-5 years
• MBA or equivalent education