Compliance Analyst

1 month ago


Milwaukee, United States Living Talent Company Full time

Investment Management Firm (100B+ AUM) Fulltime Hybrid, 3 days in office in Chicago Loop Full relocation availableBase + Bonus 140k - 160k Robust benefits package Job Details:Code, test, and implement investment compliance rules in Charles River IMS (CRIMS)Interpret investment agreements and documents Identify compliance requirements and establish validation rulesMaintain and update client-directed restriction listsCreate daily review of reports for compliance alerts, exceptions, and necessary correctionsSupport clients and colleagues for compliance questionsAnalyze compliance alerts for accurate decisionsComplete periodic client certifications and questionnaires. Assist in updating compliance policies in response to business or regulatory changes. MUST HAVE EXPERIENCE 5+ Years of professional work experience2 Years of Investment Compliance experience1+ years of coding and testing compliance rules, benchmark comparative rules, and regulatory guidelinesCharles River IMS (CRIMS) or BlackRock AladdinStrong understanding of the Securities industry and investment management regulationsInvestment Advisers / Investment Company Act of 1940ERISA regulationsFamiliarity with additional regulations (Securities / Securities Exchange Act of 1934, CFTC regulations)Knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, CFTCNICE TO HAVEUnderstanding of ESG a plusSQLPython


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