Play a pivotal role in investment compliance monitoring and process ownership. Collaborate with portfolio teams to ensure adherence to regulatory standards. Enhance your expertise in a dynamic, on-site environment.
Investment Associate
in Accounting + Finance PermanentJob Detail
Job Description
Overview
- Contribute to investment compliance monitoring across diverse portfolios, ensuring adherence to regulatory obligations and internal policies.
- Collaborate with portfolio management teams to support investment activities and maintain operational efficiency.
- Translate client-specific restrictions into codified compliance rules within the OMS/compliance platform.
- Investigate and resolve compliance breaches, escalating material issues as necessary.
- Maintain and update the compliance rule library to ensure accuracy and relevance.
- Provide detailed reports and analysis on compliance monitoring activities.
- Participate in process improvement initiatives to enhance compliance monitoring capabilities.
- Work closely with internal teams to ensure seamless integration of compliance processes.
Key Responsibilities & Duties
- Monitor investment activities across credit funds and private equity-style vehicles.
- Translate investment management agreements into codified compliance rules.
- Investigate and resolve compliance breaches, escalating issues as necessary.
- Maintain and update compliance rule libraries to ensure accuracy.
- Collaborate with portfolio management teams to support investment activities.
- Generate reports and analysis on compliance monitoring activities.
- Participate in process improvement initiatives to enhance compliance monitoring capabilities.
- Ensure seamless integration of compliance processes with internal teams.
Job Requirements
- Bachelor of Science (BS) degree in a relevant field is required.
- Minimum of 3 years of experience in investment compliance or related roles.
- Preferred 7 years of experience in investment compliance or related roles.
- Strong knowledge of regulatory obligations and compliance monitoring processes.
- Proficiency in OMS/compliance platforms and rule coding.
- Excellent analytical and problem-solving skills for investigating compliance breaches.
- Effective communication skills to collaborate with portfolio management teams.
- Ability to work on-site and contribute to team initiatives.
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