Analyst, Investment Compliance Services and Regulatory Reporting
About the position Responsibilities • Communicate effectively through direct interaction with Trading, Investment, Client and Legal associates, demonstrating a strong understanding of global compliance requirements, investment strategies and derivative usage • Analyze pre-trade, post-trade and batch compliance alerts in CRD to assess permissibility. When necessary, liaises with trading, legal, client operations and/or investment personnel by assisting with interpretation of guidelines and communications to clients • 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 • Proactively identifies and escalates potential compliance violations to management and if necessary, participates in the violation resolution process • Actively participates in the Global Client Investment Reporting (GCIR) process • Continuously seeks opportunities to enhance efficiency: Actively identifies process improvement opportunities. • Champions risk reduction: Works to reduce risk by looking for opportunities to make the compliance monitoring process more accurate, concise, and efficient • Drives automation and innovation: Recommends and implements solutions to automate manual rules, integrate new compliance functionality and leverage data as a result of system upgrades • Fosters knowledge sharing and collaboration: Develops deep expertise in the Charles River system, or other investment compliance monitoring system(s), and proactively shares knowledge to significantly increase depth of knowledge within the Monitoring team • Challenges the status quo: Critically evaluates existing policies and procedures, and practices and proposes innovative solutions to enhance effectiveness and address emerging challenges • Contributes to rule optimization: Actively monitors compliance alerts to identify trends and areas for improvement in the rule library ensuring it remains relevant and effective • Collaborates on projects: Actively participates in 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 Requirements • Bachelor's degree or the equivalent combination of education and relevant experience • 2+ years of total relevant work experience • Practical understanding of investment security types (e.g. stocks, bonds, derivatives) Nice-to-haves • Experience with Trading/IBOR/OMS systems, specifically with knowledge of Charles River Compliance System (CRD) or comparable compliance platform such as Aladdin or Bloomberg • Proven analytical skills within the area of investment compliance or a related field • Strong attention to detail; commitment to quality • Strong customer service orientation • Strong interpersonal skills; effective written and oral communications • Ability to adapt and thrive in a dynamic environment with evolving priorities • Ability to thrive in a trading related atmosphere • Strong organizational skills; proficient in handling multiple tasks simultaneously • Strong research and problem-solving skills • Team player Benefits • Competitive compensation • Annual bonus eligibility • A generous retirement plan • Hybrid work schedule • Health and wellness benefits, including online therapy • Paid time off for vacation, illness, medical appointments, and volunteering days • Family care resources, including fertility and adoption benefits Apply tot his job