Sr Compliance Analyst-Trading Desk recruitment
o Batch; review and research compliance alerts, warnings and data exceptions. Perform required manual calculations and escalate the appropriate notification protocol to GIAC management and investment management personnel of any potential violations.
o Provide oversight for batch reviews completed by Compliance Analysts.
Perform detailed compliance analysis of all rules in Charles River. Review prospectuses and other investment management agreements and validate the revised restrictions are updated in the Charles River System. Perform manual calculations required to ensure compliance. Assist with the setup of new accounts.
Review and assess existing manual and automated processes in an effort to maximize the potential while mitigating risk and maintain the same level of integrity.
Investment Adviser Compliance Testing: (1) Review policies and procedures owned by GIAC and assess effectiveness. (2) Test policies and procedures in an effort to increase efficiencies and mitigate potential risk.
Special projects as assigned by supervisor(s), including the coordination/facilitation of audit request, data management, training, and system applications and processes for all GIAC locations. Collaborate with GIAC to establish sound preventive, detective and corrective measurements.
[1] Some GIAC locations may require Senior Compliance Analyst to perform pre-trade functions with the oversight of the Supervisor.
Skills
KNOWLEDGE, EDUCATION, AND EXPERIENCE:
- Degree education
- Experience in Compliance
- Familiarity of applicable local securities legislation and fundamental understanding of applicable legislation in other regions in which the firm operates (i.e. Securities Act of 1933 1934, Investment Company Act of 1940 and Investment Advisers Act of 1940 for US, Pension Benefits Act and National Instrument 81-102 Canada, UCITs for Europe).
LICENSES AND CERTIFICATIONS:
None required
ADDITIONAL DESIRABLE QUALIFICATIONS:
Charles River Experience a plus
SKILLS AND ABILITIES:
- Ability to work under extreme high pressure, fast pace, short notice, and adjust the priority of the assignments
- Highly motivated, independent and dedicated
- Strong attention to detail and accuracy
- Strong written and oral communication
PROBLEM SOLVING AND DECISION MAKING:
- Strong analytical skills, ability to resolve simple and complex issues quickly and accurately
- Ability to make judgment to implement the recommended solution with consideration of risk exposure and escalate to management
SUPERVISORY RESPONSIBILITY:
None
TRAVEL REQUIREMENTS:
Some domestic travel may be required.