What are the responsibilities and job description for the Investment Compliance Analyst position at Creative Financial Staffing?
Leading Asset Management Investment Firm is seeking an experienced Investment Compliance Analyst $95,000 - $110,000 Investment Compliance Analyst Position Summary :
Ensure compliance for all portfolios
Our Investment Compliance Analyst is a key member of the Investment Compliance Leadership team.
Investment Compliance Analyst Responsibilities
Ensure compliance with the industry's laws and regulations.
Examine practices and policies within the business, identify areas where they are out of compliance, and offer suggestions for how to make necessary modifications.
Regular review and research into governing authorities' current rules and regulations
Analyze pre-trade, post-trade and batch compliance alerts
Conduct test trades for deals, corporate actions and in-kind transitions and reviews results to ensure compliance with all account restrictions
Oversee and manage manual processes items not coded into CRD
Identify and react on potential compliance violations to management and if necessary, participates in the violation resolution process
Improve / enhance efficiency for process improvement
Minimize risk by looking for opportunities to make the compliance monitoring process more accurate, concise, and efficient
Advise, recommend and implements solutions to automate manual rules, integrate new compliance functionality and leverage data as a result of system upgrades
Afford Best Practices with the Charles River system
Challenges the status quo : Critically evaluates existing policies and procedures, and practices and proposes innovative solutions to enhance effectiveness and address emerging challenges
Proactively monitor compliance alerts to identify trends and areas for improvement in the rule library ensuring it remains relevant and effective
Leads and collaborates on projects : Takes ownership of medium-sized projects of moderate complexity to achieve project goals and deliver impactful outcomes
Assesses the impact of change : Evaluates the implications of regulatory changes, new investment strategies, products and derivative instruments on compliance processes and contributes to the development of impactful solutions
Develops clear and comprehensive documentation : Develops user-friendly documentation, procedures and process controls to ensure clarity, consistency and transparency
Investment Compliance Analyst Qualifications :
Bachelor's degree or the equivalent combination of education and relevant experience
5 years of total relevant work experience
Experience with various Trading systems, specifically with knowledge of Charles River Compliance System (CRD) or comparable compliance platform, Clearwater experience is a plus
Solid industry knowledge of investment securities; stocks, bonds, derivatives
Proven analytical skills within the area of investment compliance
Please send your Investment Compliance Analyst Resume promptly to tburkhart@cfstaffing.com To learn more about the Investment Compliance Analyst position please Call Tim >
614.310.0331 "Feel free to call 7 days a week M-F >
Keep a pulse on the job market with advanced job matching technology.
If your compensation planning software is too rigid to deploy winning incentive strategies, it’s time to find an adaptable solution.
Compensation Planning
Enhance your organization's compensation strategy with salary data sets that HR and team managers can use to pay your staff right.
Surveys & Data Sets
What is the career path for a Investment Compliance Analyst?
Sign up to receive alerts about other jobs on the Investment Compliance Analyst career path by checking the boxes next to the positions that interest you.
