Investment Compliance- Emerging Lead
Core
Provide end-to-end investment compliance support to mutual fund clients by interpreting prospectuses and investment guidelines to create and maintain compliance rule matrices.
Role type
Senior Investment Compliance Analyst (Mutual Funds)
Builds
Compliance rule matrices and daily/monthly compliance reports for asset management clients
Domain
Asset Management / Securities Regulation
Required skills
Investment compliance monitoring, Compliance rule matrix creation, Prospectus/SAI interpretation, U.S. Investment Companies Act of 1940 knowledge, UCITS knowledge, Alteryx workflow design, SQL, Operations risk analysis, Regulatory testing requirements analysis
Preferred skills
FRM, CFA, CISI, Charles River Development (CRD) exposure, Visual Basic Applications (VBA) coding
Technologies
Alteryx, SQL, VBA
Responsibilities
Onboard new clients by extracting compliance restrictions from prospectuses; Perform annual reviews of compliance rules against updated prospectuses; Research ad-hoc queries to verify portfolio alignment with investment guidelines; Liaise with coding teams for system rule maintenance; Identify and analyze operations risks; Report suspicious transaction activity; Participate in departmental projects and committees.
Seniority
Mid-Senior, hands-on IC