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
Guideline monitoring system (Sentinel) and compliant investment operations
Domain
Global capital markets (equity, fixed income, derivatives)
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)
Technologies
Sentinel, Word, Excel
Responsibilities
Review Investment Management Agreements and evaluate client guidelines, maintain the guideline monitoring system, perform real-time pre-trade support, resolve post-trade incident exceptions, collaborate with Global Relationship Teams and Portfolio Management, develop understanding of investment strategies relative to guidelines
Seniority
Individual Contributor, Analyst level