Job Description
Investment Compliance Specialist
Our client, a reputable financial services firm, is seeking a Investment Compliance Specialist to join their team to cover a maternity leave. This assignment will likely run for 3–6 months, with the possibility of extension. We are seeking candidates with experience in regulatory compliance within the financial services industry and available and interested in working in a temporary capacity. The compensation range for this position is ($50-$70/hr) per hour.
- Responsibilities
- Facilitate pre-trade compliance controls and analysis—including management of the Firm’s security master and sensitive data points.
- Support daily pre-trade and post-trade compliance monitoring within Aladdin, ensuring timely review and resolution of alerts and exceptions.
- Perform due diligence on new and ongoing counterparties
- Participate in Daily Trade Review
- Oversee review of re-allocations, best execution activity and trade overrides.
- Build out oversight controls, as necessary, and developing a subject-matter expertise to effectively identify and address any oversight gaps relating to the Firms trading activity.
- Assist in identification and remediation of trade and operational-related trade errors and issues.
- Provide assistance in onboarding new client accounts.
- Management of Portfolio and Client Restricted Lists (i.e. affiliated investments)
- Play a key role in the identification and implementation of technical solutions that drive efficiency and increase oversight of ever-growing business.
- Participate in regulatory / industry initiatives relating to new regulations and other issues relevant to the asset management business, coordinating with the wider Legal/Compliance team.
- Assist with drafting policies and procedures relevant to supporting the business.
- Qualifications
- Minimum of 3-5+ years of strong trading desk / front office regulatory compliance gained within a credit asset management environment.
- Consistent attention to detail; acts professionally regarding sensitive subjects and maintains confidentiality while exercising discretion at all times.
- Sound interpersonal skills and relationship building abilities.
- Effective communication skills including strong written communication skills for report writing and analysis.
- Proven ability to manage multiple demands and projects in a fast-paced work environment, including ability to prioritize time efficiently and handle heavy workloads while remaining attentive to detail.
- Advanced computer literacy including Microsoft Office (PowerPoint and Excel).
- Good with technology and an interest in learning new systems. Ability to communicate complex systems in a digestible manner.
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