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Investment Compliance Consultant

2 months ago

Boston, United States Ceres Group Full time

We provide 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.

We serves more than investment firms globally in the institutional asset and fund management, private wealth, alternative investments, insurance, banking, and pension markets.

We have two compliance groups(one onsite at clients and one in our corporate offices) that are growing their teams.

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 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.

Required competencies:

* Familiarity with financial services, legal, securities trading and/or investment management compliance
* Familiarity using a Rules based Compliance Engine.
* Knowledge of Investment Compliance Regulations
* 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.

Experience & Qualifications:

* Bachelor's degree in Business Admin, Finance or a Technical Discipline.
* Some exposure to and experience working within Compliance, ideally within the Investment Management/Trading space.

#LI-MC1

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