Investment Guideline Compliance
Core
Analyst supporting Investment Guideline Compliance (IGC) by interpreting guidelines, coding rules, and testing compliance systems to ensure investment restrictions are maintained.
Role type
Investment Compliance Analyst
Builds
Compliance rule implementations and data integrity checks within investment management systems
Domain
Asset Management / Investment Compliance
Deliverable
production ML models | product features | dashboards & analysis | client delivery
Required skills
Investment guideline interpretation, Rule coding, Rule testing, Data integrity checks, Report production, Regulatory knowledge (1940 Act, UCITS), Excel proficiency
Preferred skills
Fixed Income instruments knowledge, ESG screening data familiarity (MSCI, ISS, Sustainalytics), SQL or MS Access
Technologies
ION Sentinel, Latent Zero, Excel, SQL, MS Access
Responsibilities
Review guideline documentation, Code rules into compliance applications, Test and implement new investment restrictions, Perform data integrity checks, Produce and archive compliance reports, Respond to compliance inquiries
Seniority
Analyst, entry-level IC