Compliance Analyst (Charles River Development)
Charles River provides an end-to-end solution to automate front and middle office investment management functions across asset classes on a single platform. Delivered as a hosted service, the solution improves data quality and investment professional productivity, controls risk and lowers technology costs. Charles River serves more than 350 investment firms in over 40 countries in the institutional asset and fund management, private wealth, alternative investments, insurance, banking, and pension markets. Background:
In 2016, CRD established a Compliance Advisory Service (CAS) in the EMEA region in response to demand from clients. The aim of establishing CAS in this region was to be consistent with the continuing investment to ensure that CRD is recognised as the leading provider of solutions in compliance and regulation for buy-side asset managers, pension funds, insurers and wealth managers. With the CAS team firmly established in EMEA, the Service has become global in nature, providing a service to our clients around-the-clock. Role & Responsibilities:
The focus of this role is primarily to provide hands-on delivery of compliance services to our buy-side clients. The position requires a candidate who can perform the following:
- Deliver the following service-related functions for Compliance Services clients:
- Initial service setup/implementation, including business requirements such as regulatory/legal requirements, business processes/workflows, exception management, reporting, and rules of engagement.
- Compliance software rule writing/testing, report writing, exception management.
- Compliance software configuration changes.
- Compliance software upgrade/regression testing.
- Problem troubleshooting, support, and resolution.
- Advising clients on "best practices" and optimal use of Compliance software.
- Keep abreast of regional and global industry trends and regulatory issues.
- Work closely with colleagues in Charles River regions globally to design and deliver regionally-relevant services.
- Effectively manage the internal systems, applications and controls (e.g. Salesforce) to ensure adherence to the Global Compliance Services Workflow Procedures.
- Actively participate in internal projects to optimize and scale the service.
- Provide exemplary customer service.
- Troubleshoot and provide Compliance issue resolution.
- Assist clients in optimal use of the system.
Experience & Qualifications:
- Direct experience working within financial services, legal, securities trading and/or investment management compliance
- Ability to understand and decipher Prospectus, Statement of Additional Information, Investment Policies and Client Guidelines.
- Strong knowledge of Investment Compliance related Regulations e.g. UCITS IV, The Investment Company Act of 1940, and National Instrument 81-102. (@ min UCITS)
- Ability to perform as a team member in a fast-paced, high-growth, mission critical service delivery environment with multiple projects and tasks with changing deadlines.
- Strong proficiency using windows-based applications, including MS Office applications such as Word, Excel, PowerPoint, Access, and MS Project.
- Strong analytical skills and strict attention to detail.
- Excellent interpersonal, verbal, and written communication skills.
- Excellent organizational skills.
- Creative and effective problem solving skills.
- Excellent time-management skills.
- Displays initiative and is self-driven.
- Bachelor's degree in Business Admin, Finance or a Technical Discipline required.
- Direct experience working within a Compliance Department, ideally within the Investment Management/Trading space.
- Experience using a Rules based Compliance Engine is highly preferable. Experience with any of the following software is desired, in order of preference
- Charles River IMS,
- Non-Charles River Trade Order Management software,
- Middle or Back Office trading applications, or
- Financial applications.
- Fluency in French or German advantageous but not essential.