Senior Investment Compliance Analyst
Core
Ensuring investment transactions and holdings comply with client guidelines and regulatory requirements for institutional clients.
Role type
Senior Investment Compliance Analyst
Builds
Compliant investment transactions and holdings for institutional clients
Domain
Global capital markets (equity, fixed income, multi-asset, alternative strategies)
Deliverable
client delivery
Required skills
knowledge of investment types (equity, fixed income, derivatives), guideline monitoring, regulatory regime understanding, real-time pre-trade support, post-trade incident resolution, investment strategy analysis
Preferred skills
self-starter, results-driven, controls conscious, strong organizational skills, attention to detail, computer proficiency (Word, Excel)
Responsibilities
Review Investment Management Agreements and evaluate client guidelines; maintain the Sentinel guideline monitoring system; perform real-time pre-trade support with investors; resolve post-trade incident exceptions generated from Sentinel; develop deep understanding of investment strategies relative to client guidelines and regulatory requirements
Seniority
Senior, hands-on IC
