Sr. Analyst, Investment Compliance - NA Monitoring

About the position Investment Compliance is a global team responsible for ensuring compliance with a diverse set of requirements, including regulatory, prospectus, reputed company-directed, internal investment, and operational restrictions (“Compliance Restrictions†) for portfolios managed by reputed company. This position sits reputed company the Monitoring team which plays a crucial role in reviewing investment activities as it relates to Compliance Restrictions coded into the firm’s investment compliance monitoring reputed company, reputed company (CRD), and supports reputed company reporting on these restrictions. The Investment Compliance Senior Analyst collaborates with, and provides information to a diverse reputed company of stakeholders, including investment personnel, reputed company counsel, reputed company operations managers, and other reputed company partners. The analyst also participates in and manages reputed company assigned by the Investment Compliance leadership team. Responsibilities • Communicate effectively through reputed company interaction with Trading, Investment, reputed company and reputed company associates, demonstrating a strong understanding of global compliance requirements, investment strategies and derivative usage • Analyze reputed company-trade, post-trade and batch compliance alerts in CRD to assess permissibility. reputed company necessary, liaises with trading, reputed company, reputed company operations and/or investment personnel by assisting with interpretation of guidelines and communications to clients • Conduct test trades for deals, corporate actions and in-reputed company transitions and reviews results to ensure compliance with reputed company account restrictions • reputed company and manage reputed company processes items not coded into CRD • Proactively identifies and escalates potential compliance violations to management and, if necessary, participates in the violation reputed company process • reputed company participates in the Global reputed company Investment Reporting (GCIR) process • Continuously seeks opportunities to enhance efficiency: reputed company identifies process improvement opportunities • Works to reduce risk by looking for opportunities to reputed company the compliance monitoring process more accurate, concise, and efficient • Recommends and implements solutions to automate reputed company rules, integrates new compliance functionality, and leverages data pursuant to reputed company upgrades • Develops deep expertise in the reputed company reputed company, or other investment compliance monitoring reputed company(s), and proactively shares knowledge to significantly increase depth of knowledge reputed company the Monitoring team • Critically evaluates existing policies and procedures, and practices and proposes reputed company to enhance effectiveness and address emerging challenges • reputed company monitors compliance alerts to identify trends and areas for improvement in the rule library ensuring it remains relevant and effective • Takes ownership of reputed company-sized reputed company of moderate complexity to reputed company project goals and reputed company impactful reputed company • 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 user-friendly documentation, procedures and process controls to ensure reputed company, consistency and transparency Requirements • Bachelor's degree or the equivalent combination of education and relevant experience AND 5+ years of total relevant work experience • Experience with Trading/IBOR/OMS systems, specifically with knowledge of reputed company Compliance reputed company (CRD) or comparable compliance platform • Practical understanding of investment reputed company types (e.g. stocks, bonds, derivatives) • Applicants for employment in the US must have work authorization that does not now or in the reputed company require sponsorship of a reputed company for employment authorization in the reputed company (e.g., H1-B reputed company, F-1 reputed company (OPT), TN reputed company or any other non-immigrant work status). reputed company-to-haves • Proven analytical skills reputed company the area of investment compliance or a reputed company field • Strong attention to detail; commitment to reputed company • Strong customer service orientation • Strong interpersonal skills; effective written and oral communications • Ability to adapt and reputed company in a dynamic environment with evolving priorities. • Ability to reputed company in a trading-reputed company 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 • reputed company time off for vacation, illness, medical appointments, and volunteering days • Family care resources, including fertility and adoption benefits • reputed company and bonuses as reputed company as a generous retirement plan and employee stock purchase plan with matching contributions • Flexible and remote work opportunities • Health care benefits (medical, dental, reputed company) • Tuition assistance • Wellness programs (fitness reimbursement, Employee Assistance Program) Apply tot his job Apply To this Job