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    Compliance Analyst - Los Angeles, United States - Living Talent Company

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    Description
    Investment Management Firm (100B+ AUM)
    Fulltime
    Hybrid, 3 days in office in Chicago Loop
    Full relocation available
    Base + Bonus 140k - 160k
    Robust benefits package


    Job Details:
    Code, test, and implement investment compliance rules in Charles River IMS (CRIMS)
    Interpret investment agreements and documents
    Identify compliance requirements and establish validation rules
    Maintain and update client-directed restriction lists
    Create daily review of reports for compliance alerts, exceptions, and necessary corrections
    Support clients and colleagues for compliance questions
    Analyze compliance alerts for accurate decisions
    Complete periodic client certifications and questionnaires.
    Assist in updating compliance policies in response to business or regulatory changes.


    MUST HAVE EXPERIENCE
    5+ Years of professional work experience
    2 Years of Investment Compliance experience
    1+ years of coding and testing compliance rules, benchmark comparative rules, and regulatory guidelines
    Charles River IMS (CRIMS) or BlackRock Aladdin
    Strong understanding of the Securities industry and investment management regulations
    Investment Advisers / Investment Company Act of 1940
    ERISA regulations
    Familiarity with additional regulations (Securities / Securities Exchange Act of 1934, CFTC regulations)
    Knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, CFTC


    NICE TO HAVE
    Understanding of ESG a plus

    SQL
    Python

    #J-18808-Ljbffr

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