Analyst, Compliance
Core
Conduct trade-surveillance investigations and provide proactive compliance guidance for Fixed Income Trading and Securities Lending teams.
Role type
Compliance Analyst (Fixed Income)
Builds
Trade surveillance program and compliance reporting for senior leadership
Domain
Fixed Income Trading & Securities Lending
Required skills
Fixed income trading knowledge, trade surveillance investigation, data analysis, regulatory interpretation, conflict of interest analysis, record keeping
Preferred skills
Aladdin experience, Power BI, Tableau
Technologies
Aladdin, Excel, Power BI, Tableau
Responsibilities
Review alerts and investigate flagged transactions; Partner with investment and operational teams to clarify trading decisions; Evaluate fair trade allocations and best execution; Produce reporting on significant findings for senior leadership; Provide compliance guidance on trade amendments and information barriers; Manage and modernize the surveillance program; Oversee proxy voting compliance programs
Seniority
Mid-level, hands-on IC
