Investment Compliance Analyst

Description

Role Overview

This position will provide compliance oversight of the firm's investment compliance and trade operations functions. The successful candidate ideally will be experienced with order management systems and their rules engines and promote ideas to mitigate risk and optimize various investment compliance and trade operations processes.

Primary Responsibilities

• Administer and monitor pre- and post- trade investment compliance functions within the order management system for registered mutual funds and separately managed accounts in various lines of business, including:
• On-board new accounts and manage amendments to existing rule coding
• Program and test rules in the order management system in order to effectively monitor client and regulatory requirements
• Coordinate with system representatives regarding issues and enhancements
• Collaborate with investment and advisor staff to ensure rule coding achieves alignment between client/regulatory requirements and the investment strategy of each account
• Perform quality assurance testing and review of rules programmed
• Provide creative coding solutions and alternatives to capture complex requirements
• Monitoring daily reporting and escalating exceptions as needed
• Assist with monitoring of compliance program requirements; providing updates, metrics and reporting as needed.
• Conduct compliance testing and/or reviews in coordination with testing and monitoring program and compliance priorities.
• Support the CCO in risk assessment processes and annual compliance reviews.
• Perform additional projects and tasks in support of Meeder's compliance program as assigned.
  
  

Critical Success Factors

• Functions with a high degree of independence while meeting competing priorities, deadlines and objectives.
• Ability to effectively interact and communicate with all levels of Meeder associates. This role interacts with the entire firm.
• Strong analytical skills, attention to detail, and ability to exercise balanced judgment and decision making.
• Positive attitude, enthusiastic, professional, with a strong work ethic.
• Excellent written and verbal communication skills.
• Ability to synthesize complex/technical topics to non-technical parties.
• Ability to visualize complex concepts, ideas, and designs when necessary.
• Willingness to initiate collaboration across multiple internal departments.
  
  

Req Number LEG-25-00001

Position Requirements

• Bachelor’s Degree
• A minimum of 3-5 years’ experience in a risk management, internal control, or in a compliance role in the asset management or financial services industry.
• Proficient in the functionality of risk and compliance tools within order management and portfolio management systems.
• Comfortable dealing with portfolio managers, traders, compliance and leadership personnel within an asset management firm, as well as with various representatives of technology vendors.
• Highly proficient understanding and use of Microsoft Office suite and various compliance and risk technology tools.
  
  

About the Organization Meeder Investment Management has helped clients successfully reach their financial goals since 1974. Headquartered in Dublin, Ohio, Meeder has over 125 professionals dedicated to serving the financial needs of financial advisors and their clients as well as government entities, with over $150 billion in assets under advisement.

Meeder's advice and solution suite is driven by our founding principle: providing investment solutions designed to improve investor outcomes. Meeder works with clients - both directly and through financial advisors - to offer a variety of investment solutions including mutual funds, investment portfolios, separately managed accounts, retirement plan services, and cash management solutions.

At Meeder, we pride ourselves on living our five core values: Do the Right Thing, Driven & Results Oriented, Relationships Matter, Continuous Improvement, and Discipline. Our core values are the cultural cornerstone for everything we do. They inspire and guide us in our day-to-day work, our relationships with colleagues, and when servicing our clients.

Visit www.meederinvestment.com for more. See Meeder's social media pages at https://linktr.ee/Meeder

• Assets Under Advisement consist of $58.4 billion of regulatory assets under management by Meeder Investment Management's registered investment adviser affiliates and $100.6 billion of non-discretionary assets as to which Meeder Public Funds provides strategic advice or consultation as of December 31, 2023.
  
  

EOE Statement Meeder Investment Management is an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex (including pregnancy, childbirth, or related medical conditions; sexual orientation; and gender identity), national origin, disability, genetic information, and age (40 or over).