Senior Investment Compliance Analyst
Job Title: Senior Investment Compliance Analyst
Location: El Segundo, US (primary)
- Using the firm’s order management system and manual processes, conduct pre-trade compliance monitoring and testing across portfolios by reviewing relevant restrictions, pre-clearing alerts as appropriate when generated by the compliance system, and addressing other pre-clearance requests.
- Using the firm’s order management system and manual processes, conduct post-trade reviews across portfolios by researching compliance alerts, warnings and data exceptions.
- Escalate issues and questions to the Investment Compliance Team and propose solutions as appropriate.
- Assist with special projects as assigned by supervisor(s) on an ad hoc basis.
Education: Bachelor’s degree in Accounting, Business or Finance
- At least 3 years prior experience within investment management industry.
- Ability to research issues, understand investment management agreements and investment guidelines, state insurance codes and engage informatively with investment professionals.
- Capable of learning quickly & independently
- Ability to work in time sensitive & team environment
- Highly motivated, strong work ethics & independent
- Highly organized with strong attention to details & accuracy
- Effective communication & presentation skills
- Strong analytical, critical & problem-solving skills