Compliance Analyst

Compliance Analyst Overview

• The Compliance Analyst will oversee regulatory and contractual investment restrictions, ensuring adherence to mandates and supporting trading decisions.
• Collaborate with portfolio managers, traders, and legal teams to implement and monitor investment guidelines effectively.
• Work closely with technology teams to enhance systems for robust pre-trade risk frameworks and reporting analytics.
• Investigate potential breaches of investment restrictions, maintaining accurate records and ensuring compliance consistency.
• Analyze real-time risk alerts, resolving exceptions while ensuring alignment with investment mandates.
• Support the development of new monitoring and analysis strategies to meet evolving portfolio requirements.
• Assist in specifying amendments to prospectus documents and investment agreements as required.
• Opportunity to transition to a permanent role based on performance and organizational needs.

Compliance Analyst Key Responsibilities & Duties

• Analyze and resolve pre-trade and real-time compliance alerts, ensuring adherence to investment mandates.
• Implement and monitor regulatory limits within risk systems, developing analytics as necessary.
• Collaborate with legal and structuring teams to ensure accurate documentation of investment restrictions.
• Investigate breaches of investment restrictions and maintain the central breach log.
• Review investment restrictions for new mandates, ensuring proper implementation prior to finalization.
• Work with technology teams to specify system enhancements for monitoring and analysis.
• Support portfolio managers with trading decisions by providing compliance insights and guidance.
• Ensure compliance with UCITS, 3(c)7 funds, and US mutual fund requirements.

Compliance Analyst Job Requirements

• Bachelor’s or Master’s degree in a field with analytical components.
• 3-5 years of experience in compliance or risk management within asset management.
• Proficiency in portfolio management strategies, including derivatives and short positions.
• Experience reviewing investment guidelines, offering memorandums, and management agreements.
• Knowledge of compliance requirements for UCITS, 3(c)7 funds, and US mutual funds.
• Moderate programming skills in Excel/VBA, SQL, or Python preferred.
• Strong analytical and research skills with attention to detail.
• Ability to work effectively in a trading desk environment.