Investment Compliance Analyst
Core
Support investment teams to ensure transactions and holdings comply with client guidelines and regulatory requirements.
Role type
Investment Compliance Analyst
Builds
Compliant investment transactions and holdings for institutional clients
Domain
Global capital markets (equity, fixed income, multi-asset, alternative strategies)
Required skills
Investment types knowledge (equity, fixed income, derivatives), Guideline monitoring, Regulatory regimes understanding, Pre-trade support, Post-trade exception resolution, Investment strategies analysis
Preferred skills
Guideline monitoring experience, Investment operations experience, Compliance experience, Self-starter mindset, Results-driven approach, Controls consciousness, Organizational skills, Attention to detail, Computer proficiency (Word, Excel)
Responsibilities
Review Investment Management Agreements and evaluate client guidelines, Maintain guideline monitoring system (Sentinel), Perform real-time pre-trade support with investors, Resolve post-trade incident exceptions, Collaborate with Global Relationship Teams, Product Management, and Portfolio Management, Develop deep understanding of investment strategies relative to guidelines
Seniority
Individual Contributor