Investment Compliance Senior Associate
Investment Compliance Senior Associate
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Job Description
As an Investment Compliance Senior Associate within the Data Solutions team you will be exposed to a wide range of financial products including Equities Fixed Income securities and Complex Assets. You will be responsible for interpreting guidelines building investment rules investigation of potential violations and partnering with the investment manager and/or the client to assess their needs and provide solutions. This is an exciting position for a clientfocused and solutiondriven individual who thrives on new challenges possesses intellectual curiosity and entrepreneurial spirit and enjoys working in a fastpaced yet flexible environment.
Job responsibilities
- Understands client requirements on prospectus/rule changes and work with the client to leverage to functionality in the platform to solution their reporting/data requirements
- Analyses rootcause of investment exceptions which includes analysis of portfolio holdings composition historical transactions & data to verify compliance
- Interprets guidelines & investment mandates to build logic based rules for compliance monitoring
- Participates in client calls for service reviews Due Diligence Meetings and projects undertaken
- Ensures all client queries are resolved with adherence to timeliness and accuracy requirements
- Ensures the closure of exceptions on the compliance platform through communication with the client/fund manager for true exceptions and upstream teams for data / coding gaps
- Works with Global peers to define Best Practice and remediate any manual/bespoke processes
- Maintains a thorough understanding of industry market and regulatory developments related to all regulatory reporting engagement and disclosure requirements for asset owners and asset managers
- Maintains and updates standard regulatory rule sets and collaborate with the client to review changes in post trade monitoring rules
- Connects with Controls Audit and risk teams to review and analyse all process related controls
- Participates in new client onboarding process by providing market knowledge and functional expertise
Required qualifications capabilities and skills
- Experience in posttrade compliance roles within Financial services industry
- Working knowledge of guideline coding on compliance systems e.g : TRAC Charles River Sentinel Aladdin
- Excellent communication and interpersonal skills to build trusted relationship with clients internal and external stakeholders
- Strong knowledge of global regulatory requirements impacting posttrade activities e.g. UCITS IRS 1940 Act Money market regs etc.
- Ability to articulate complex issues in a clear and concise manner
- Collaborative approach to problem solving
- Proven leadership skills with the ability to drive results in a fastpaced environment
- Have an indepth understanding of complex instruments fixed income and equity products
- Excellent written communication skills with proven client engagement expertise
- High standard of accuracy and strong attention to detail
- Excellent organisation skills ability to prioritize workloads and adhere to stringent timelines
Preferred qualifications capabilities and skills
- Professional certification including but not limited to CFA FRM 1940 Act European regulations
- Experience with automation tools (Alteryx AI ML Python etc.)
Required Experience:
Senior IC
Employment Type
Full-Time
