Compliance Analyst
2 weeks ago
Position Overview
Apollo Insurance Solutions Group LP (“ISG”) is seeking a Compliance Analyst for its El Segundo, CA based headquarters. The Compliance Analyst reports into the Investment Compliance Team, which is primarily responsible for the oversight and management of regulatory compliance risk related to ISG’s investment and trading activities. The Investment Compliance Team ensures that the firm’s investment and trading activities are compliant with regulatory requirements, portfolio restrictions, and internal controls.
The Compliance Analyst plays an important frontline role in managing the firm’s regulatory and legal risk by monitoring daily investment and trading activities across the organization. The Compliance Analyst interfaces with the firm’s trading and investment teams to resolve pre-trade and post-trade compliance matters and escalate issues for further analysis.
Using the compliance functionality of the firm’s order management system, the Compliance Analyst monitors pre-trade and post-trade compliance with investment restrictions stipulated by a variety of sources including but not limited to our own internal policies, investment management agreements, client account guidelines, and regulatory requirements. The Compliance Analyst will also assist in maintaining and improving systems and processes related to investment and trading compliance.
Under the direction of the Principal, Investment Compliance, the Compliance Analyst will prepare routine portfolio compliance reports utilizing the firm’s order management system. The Compliance Analyst will also serve as a resource for the firm’s investment and trading teams to investigate and resolve compliance testing and reporting issues.
DUTIES & RESPONSIBILITIES- Using the firm’s order management system and manual processes, conduct pre-trade compliance monitoring and testing across portfolios by reviewing relevant restrictions, pre-clearing alerts as appropriate when generated by the compliance system, and addressing other pre-clearance requests.- Using the firm’s order management system and manual processes, conduct post-trade reviews across portfolios by reviewing portfolio holdings and transactions- Escalate issues and questions to the Investment Compliance Team and propose solutions as appropriate.- Assist with special projects as assigned by supervisor(s) on an ad hoc basis.
Qualifications & Experience- Undergraduate degree in Accounting, Business or Finance- Minimum 1+ year prior experience within investment management industry- Working knowledge and use of order management and compliance systems i.e. Aladdin, Charles River, Bloomberg, and/or thinkFolio- Ability to research issues, understand investment management agreements and investment guidelines, state insurance codes and engage informatively with investment professionals- Capable of learning quickly & independently- Ability to work in time sensitive & team environment- Highly organized with strong attention to details & accuracy
Pay Range
$80,000 - $90,000
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