Back to job search

Junior Investment Compliance Analyst

  • Location:

    New York

  • Sector:

    Risk & Compliance

  • Job type:

    Permanent

  • Salary:

    US$75000 - US$90000 per annum + Bonus + Full Time Benefits

  • Contact:

    Thomas Helmke

  • Contact email:

    Thomas.Helmke@oliverjames.com

  • Job ref:

    JOB-102021-152799_1635859624

  • Published:

    etwa ein Monat her

  • Expiry date:

    2021-12-02

  • Startdate:

    ASAP

The Guideline Management team are responsible for the drafting, implementation, coding and monitoring of investment guidelines. The team are integral to front office processes and are sat amongst the fund management team and client solutions group, working closely with them to ensure guidelines are operationally sound and that investment risk limits are adhered to.

Team

The Guideline Management team are responsible for the drafting, implementation, coding and monitoring of investment guidelines. The team are integral to front office processes and are sat amongst the fund management team and client solutions group, working closely with them to ensure guidelines are operationally sound and that investment risk limits are adhered to. The Guideline Management Analyst will be responsible for reviewing Active investment guidelines following their execution and take responsibility for the coding of pre/post-trade investment restrictions into both thinkFolio and an In-house built compliance engine. They will also be responsible for the post-trade monitoring across U.S. clients and will be required to support the fund management team in resolving any incidents.

Role Responsibilities

  • Build a detailed knowledge of both compliance systems, understanding the various risk limits and the coding capabilities.

  • Ensure all new mandates/amendments are coded into systems within the agreed timeframes with a high level of accuracy.

  • Work closely with the Fund Managers and Client Directors to ensure that coding has been accurately interpreted and signed off within the appropriate timeframe.

  • Ensure client guideline queries from across the business are answered in a timely and accurate manner.

  • Complete post trade monitoring of incidents generated by the compliance systems, ensuring incidents are proactively escalated and recorded in the relevant systems.

  • Complete monthly and quarterly compliance attestations within the required deadlines.

  • Support the fund managers with ad-hoc queries related to pre-trade warnings generated by the compliance systems.

  • Continuously engage with IT to evolve systems.

  • Work closely with Fund Management and the Client Services team in the review of guidelines - ensuring that amendments can be coded into the compliance systems and standardizing the format of guidelines across the U.S. business.

  • Liaise with various internal parties (Fund Managers, Legal, Compliance, Risk, Client Directors, Traders) on Guideline Management team projects - ensuring deadlines are met.

  • Proactively devise ways to reduce operational risk to the business and to increase the efficiency of processes

Qualifications

  • Minimum of a BA or BS in finance, mathematics, economics or equivalent.

  • At least two years in a guideline-related function.

  • Proficient in using Microsoft Excel, Word, and PowerPoint.

  • Strong understanding of fixed income securities.

  • Strong understanding of derivatives.

  • Looking to complete/completed CFA certification.

Personal qualities:

  • Strong ownership of role and responsibilities.

  • Innovative approach to problem solving.

  • Proactive, self-starter, energetic and enthusiastic individual.

  • Confidence to engage with a variety of people from around the business, including Client Directors, Fund Managers, Traders, Operations, Senior Management, etc.

  • Attention to detail.

  • Strong numerical skills.

  • Excellent organizational skills, proven ability to multitask and prioritize.

Image 2020 11 03 T18 21 29

The latest OJ Webinar

Are you looking to relocate?