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Back Office Compliance Analyst
3 months ago
Position Overview: We are seeking a detail-oriented and highly analytical Back Office Compliance Analyst. This role is critical in ensuring the accuracy and compliance of firmwide financial operations, particularly in the areas of dividend payments, corporate actions, FX spot trades, and P&L reconciliation. The ideal candidate will have a strong background in finance, exceptional problem-solving skills, and experience with VBA, SQL, and Python.
Key Responsibilities:
- Dividend Reconciliation:
- Execute daily reconciliation of firmwide dividend payments, ensuring accuracy in gross amounts, tax deductions, and entitlements.
- Follow strict rules and regulatory compliance to maintain financial integrity.
- Corporate Actions:
- Analyze corporate actions and submit timely elections to prime brokers for various financial events.
- FX Spot Trades:
- Conduct FX spot trades to mitigate currency exposure risks and reduce financing costs.
- OTC Trading:
- Support OTC trading activities by ensuring accurate trade capture, confirmation, and settlement.
- Reconcile OTC trades, addressing discrepancies promptly to ensure smooth operations.
- Automated Reporting:
- Develop and maintain automated reporting systems to enhance operational efficiency using VBA, SQL, and Python.
- P&L Reconciliation:
- Manage daily P&L reconciliation for special situation trading accounts, including nightly estimate distribution, position, pricing, and interest reconciliation with prime brokers.
- Proactively resolve discrepancies, crucial for facilitating large trades.
- System Refinement:
- Partner with technology teams to refine internal systems for tracking dividends and accruals, ensuring system reliability.
- Project Management:
- Steer long-term projects aimed at standardizing internal bookkeeping and improving financial processes.
Key Achievements:
- Standardization and Enhancements:
- Led projects to standardize internal bookkeeping records and enhance operational tools, resolving dividend reclaims with counterparties.
- Internal Cash Movement Tool:
- Planned, established, and enforced an internal cash movement tool in collaboration with the technology team to streamline operations and P&L reconciliation.
- Cost Savings:
- Saved the firm unnecessary costs by devising a coding solution to identify and correct erroneous financing charges on foreign currencies.
- Special Situation Trade:
- Ensured smooth operational flow for a record-breaking special situation trade, marking the largest trade in the firm's history.
- Equity Finance Team Support:
- Served as an integral part of the equity finance team, providing seamless trade support and account reconciliations while interacting with traders and operations colleagues.
Qualifications:
- Bachelor’s degree in Finance, Accounting, Economics, or a related field.
- 3-5 years of relevant experience in a Hedge Fund or similar environment
- Work experience with OTC Trading
- Proven experience in financial operations, reconciliation, and automated reporting.
- Proficiency in VBA, SQL, and Python.
- Strong analytical and problem-solving skills.
- Excellent communication and teamwork abilities.
- Detail-oriented with a commitment to accuracy and compliance.