Senior Compliance Analyst
Core
Monitor investment compliance alerts, review portfolio transactions, and ensure adherence to regulatory requirements and fund-specific restrictions for the EMEA region.
Role type
Senior Compliance Analyst (Investment)
Builds
Compliance monitoring reports, breach analysis documentation, and updated compliance block positions.
Domain
Asset Management / Investment Compliance
Required skills
rule coding, rule testing, post trade monitoring, complex breach analysis, regulatory interpretation, control documentation review, operational risk management, audit support, cash reconciliation, stakeholder query resolution
Preferred skills
automated compliance monitoring, complex investment guideline interpretation, process improvement, UAT support
Technologies
OMS, CRD reports, Reconciliation systems
Responsibilities
Independently address day-to-day compliance alerts/warnings in batch compliance related to trading strategies; Perform daily reviews of portfolio transactions and monitor compliance investment restrictions; Analyze complex compliance exceptions and prepare supporting evidence; Maintain the Compliance Block facility; Independently resolve queries and compliance issues from Regional Compliance; Review processes and identify control gaps; Perform daily manual monitoring activities outside the OMS; Collaborate with Regional Compliance teams to implement compliance monitoring activities; Support compliance-related projects and system changes; Perform daily monitoring of overdrawn funds.
Seniority
Senior, hands-on IC