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Enhanced Due Diligence Compliance Analyst
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Compliance Analyst
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Compliance Analyst
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Compliance Analyst
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Compliance Analyst
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Compliance Analyst
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Analyst - Compliance
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Compliance Analyst - Chicago, United States - Living Talent Company
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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.
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