Role: Investment Compliance Analyst - Equities
Type: Full Time, Permanent
Salary: 65-85K base + bonus
Who: Global Asset Manager
Location: Boston, MA
The Investment Compliance Monitoring Group is responsible for reducing the risk of trade error or compliance exceptions. Responsible for the monitoring of compliance.
This individual, the Investment Compliance Analyst - Equities, will sit on the equity trading desk and is responsible for daily monitoring of all trade activity for compliance.
- Conduct day of trade monitoring for equity investment activities
- Make sure the trades are compliant with the given portfolio limitation before the trade execution.
- Review fund guidelines ensure compliance limits are appropriately translated into the monitoring system.
- Identify and raise awareness to any potential compliance violations.
- Liaise with necessary teams to resolve issues in a quickly
- Identify potential issues impacting the portfolios or gaps in department policies and procedures and escalates as appropriate.
- Communicate with other Compliance business units
- Day-to-day interaction with front/middle office personnel to ensure that investment limits are understood and issues are resolved in an appropriate and timely manner.
- Interface with Legal groups to address matters that arise
- Participate in training meetings with investment professionals on the limits assigned to their funds/accounts.
- Bachelor's degree in finance, accounting, or economics or relevant job experience preferred
- 4-7 years' experience in financial services, preferably in the area of investment compliance, investment support or investment operations
- Strong organizational skills and multi-tasking skills
- Highly analytically, strong problem solving skills and attention to details
- Excellent verbal and written communication
- Strong presentation skills
- Ability to work across multiple functions, and proven team player
- Strong Microsoft Office skills
- Experience working on Trade management systems
Sthree US is acting as an Employment Agency in relation to this vacancy.