Financial Planning Administrator managing specialised administration support/services and client relationships at Progeny. Ideal for someone with 2+ years in financial services, offering growth opportunities.
About the role
- Investment Compliance Analyst ensuring compliance within global asset management through monitoring and analyzing investment activities. Communicates with various stakeholders while managing compliance projects and processes.
Responsibilities
- Communicate effectively through direct interaction with Trading, Investment, Client and Legal associates, demonstrating a strong understanding of global compliance requirements, investment strategies and derivative usage
- Analyze pre-trade, post-trade and batch compliance alerts in CRD to assess permissibility
- Liaises with trading, legal, client operations and/or investment personnel by assisting with interpretation of guidelines and communications to clients
- Conduct test trades for deals, corporate actions and in-kind transitions and reviews results to ensure compliance with all account restrictions
- Oversee and manage manual processes items not coded into CRD
- Proactively identifies and escalates potential compliance violations to management and if necessary, participates in the violation resolution process
- Actively participates in the Global Client Investment Reporting (GCIR) process
- Continuously seeks opportunities to enhance efficiency; actively identifies process improvement opportunities
- Champions risk reduction; works to reduce risk by looking for opportunities to make the compliance monitoring process more accurate, concise, and efficient
- Drives automation and innovation; recommends and implements solutions to automate manual rules, integrate new compliance functionality and leverage data as a result of system upgrades
- Fosters knowledge sharing and collaboration; develops deep expertise in the Charles River system, and proactively shares knowledge to significantly increase depth of knowledge within the Monitoring team
- Challenges the status quo; critically evaluates existing policies and procedures, and practices and proposes innovative solutions to enhance effectiveness and address emerging challenges
- Actively monitors compliance alerts to identify trends and areas for improvement in the rule library ensuring it remains relevant and effective
- Actively participates in medium-sized projects of moderate complexity to achieve project goals and deliver impactful outcomes
- Evaluates the implications of regulatory changes, new investment strategies, products and derivative instruments on compliance processes and contributes to the development of impactful solutions
- Develops user-friendly documentation, procedures and process controls to ensure clarity, consistency and transparency
Requirements
- Bachelor's degree or the equivalent combination of education and relevant experience
- 2+ years of total relevant work experience
- Practical understanding of investment security types (e.g. stocks, bonds, derivatives)
- Experience with Trading/IBOR/OMS systems, specifically with knowledge of Charles River Compliance System (CRD) or comparable compliance platform such as Aladdin or Bloomberg
- Proven analytical skills within the area of investment compliance or a related field
- Strong attention to detail; commitment to quality
- Strong customer service orientation
- Strong interpersonal skills; effective written and oral communications
- Ability to adapt and thrive in a dynamic environment with evolving priorities
- Strong organizational skills; proficient in handling multiple tasks simultaneously
- Strong research and problem-solving skills
Benefits
- Competitive compensation
- Annual bonus eligibility
- A generous retirement plan
- Hybrid work schedule
- Health and wellness benefits, including online therapy
- Paid time off for vacation, illness, medical appointments, and volunteering days
- Family care resources, including fertility and adoption benefits
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