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    Compliance Analyst - Chicago, United States - Living Talent Company

    Living Talent Company
    Living Talent Company Chicago, United States

    2 weeks ago

    Default job background
    Description
    Investment Management Firm (100B+ AUM)
    Hybrid, 3 days in office in Chicago Loop
    Full relocation available
    Base + Bonus 120k - 140k
    Robust benefits package

    Role & Responsibilities

    CRIMS policy implementation.

    Governing Document Review:
    Interpret investment agreements and documents to identify compliance requirements and establish validation rules.

    Compliance Rule Creation:
    Develop and document new rules in Charles River IMS.

    Portfolio Guidelines Accuracy:
    Ensure accuracy of client portfolio guidelines in CRIMS.

    Restriction List Management:
    Maintain and update client-directed restriction lists.

    Post-Trade Report Review:
    Daily review of reports for compliance alerts and necessary corrections.

    Support for Portfolio and Trading:
    Provide support on compliance queries from clients and colleagues.

    Compliance Alert Analysis:
    Analyze alerts for accurate decisions, utilizing expertise and data.

    Automation Improvement:
    Assist in enhancing automation capabilities.

    Supervisory Exception Report Review:
    Review and address potential exceptions identified in daily reports.

    Client Account Certifications:
    Complete periodic certifications and questionnaires.

    Forensic Testing:
    Conduct testing to ensure adherence to trading policies and identify irregularities.

    Policy and Procedure Updates:
    Assist in updating compliance policies in response to business or regulatory changes.

    Process Efficiency Initiatives:
    Identify and implement process improvements.

    Participation in Initiatives:
    Engage in compliance-related initiatives and projects as assigned.

    Experience & Skills

    Charles River IMS
    3 years + coding client and regulatory guidelines in CRIMS

    including:
    complex (conditional) compliance rules & benchmark comparative rules.

    5 years of Compliance within Investment Management.

    ideally:
    US fund compliance, SMAs, Portfolio Administration, Operations, or Risk Management.
    Compliance rule construction and data requirements.

    Sound knowledge of:
    equity, fixed income & derivative asset classes.
    Proven experience working with the front office.
    Familiarity with trade order lifecycle.

    Understanding of:
    Securities industry and regulatory requirements (IAA, ICA, ERISA)
    Data Analysis and proficiency with SQL, v-lookup, pivot tables, etc., MS SQL Server, Excel
    Interpersonal skills, ability to work independently and in teams.
    Bachelor's degree


    Required:
    Availability for remote after-hours support to resolve compliance alerts during nightly system updates. Email and/or phone accessibility during non-business hours.


    Preferred:
    Knowledge with other rules and regulations (FINRA, CFTC, Securities Act of 1933, Securities Exchange Act of Familiarity ESG and global regulatory requirements.
    #J-18808-Ljbffr
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