Our client, a leading financial services company is looking to hire a Senior Compliance Analyst. The incumbent will provide generalist compliance support in the trading markets compliance, marketing & sales compliance, and code of ethics areas of the business.
- Serve as a compliance resource for business partners (Portfolio Management, Trading, Marketing and Client Relations).
- Extract investment guidelines from prospectuses, SAI’s, investment management agreements, and other contractual constituent documents.
- Assist with the general administration of Charles River, including rule creation, testing, new account set-up, and production enhancements.
- Working knowledge of the MAS Securities and Futures Act, SFC Securities and Futures Ordinance, US Investment Advisor’s Act and Investment Company Act, and ESMA UCITS regulations.
- Participate in the design, refinement, and execution of internal controls and corporate compliance procedures, and any associated audits of said controls that would occur.
- Assist to convey complex regulatory and investment concepts to internal and external clients.
- Assist the global compliance team with surveillance and forensic testing of the front office compliance program, as well as the review and maintenance of compliance policies and procedures
- 3-7+ years front office or generalist compliance experience with a global investment manager (ideally US headquartered).
- Direct experience working with MAS and / or SFC; other regulators a plus.
- Working knowledge of equity products; fixed income and derivatives knowledge a plus.
- Knowledge or experience of the Global Investment Performance Standards (GIPS).
- Experience with marketing review for regional institutional and advisor clients.
- Well-developed computer skills: intermediate to expert use of MS office is essential. Familiarity with Charles River or similar order entry systems is desirable.
- Experience with object-oriented data base platforms and process automation a major plus (SQL, VBA, etc).
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