Investment Compliance Associate

4 weeks ago


Charlotte, United States Larson Maddox Full time

A leading investment manager is growing it's compliance team and is looking for you to join the firm as it's next Investment Compliance Associate This is a great opportunity to join a collaborative team that is eager to continue it's growth. If what is below matches what you are looking for in the next step of your career, apply into the Investment Compliance Associate role now


The Investment Compliance Associate will be responsible for:

  • Review daily portfolio compliance results, identify and resolve any active or passive compliance issues. Some of this activity requires manual processing.
  • Participate in the new account setup and guideline change process, providing a secondary review of new and amended guidelines in the compliance monitoring system
  • Identify and resolve any issues/concerns with investment guideline interpretation and coding
  • Using Charles River Development and adhering to all appropriate regulations. Bloomberg or Aladdin experience also accepted.
  • Identify ways of creating efficiencies/improving processes to the Investment Compliance program using best practices


The Investment Compliance Associate should have the following qualifications:

  • 1 - 5 years of relevant experience.
  • Knowledge and prior use of Charles River Investment Management System (CRD), Bloomberg, or Aladdin.
  • Working knowledge and understanding of capital markets; experience with fixed income, equity and derivative instruments
  • Excellent verbal and written communications skills
  • Strong analytical skills with excellent attention to detail


If after reviewing you feel your background is in alignment with the Investment Compliance Associate, don't wait to apply into this fast moving opportunity



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