Job Opening

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

Contact: revi@wallstreetpersonnel.com