Compliance Rules Analyst

3 weeks ago


Charlotte, United States Living Talent Company Full time
Investment Management Firm (100B+ AUM)
  • Fulltime
  • Hybrid, 3 days in office in Chicago Loop
  • Full relocation available
  • Base + 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 rules
  • Maintain and update client-directed restriction lists
  • Create daily review of reports for compliance alerts, exceptions, and necessary corrections
  • Support clients and colleagues for compliance questions
  • Analyze compliance alerts for accurate decisions
  • Complete 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 experience
  • 2 Years of Investment Compliance experience
  • 1+ years of coding and testing compliance rules, benchmark comparative rules, and regulatory guidelines
  • Charles River IMS (CRIMS) or BlackRock Aladdin
  • Strong understanding of the Securities industry and investment management regulations
  • Investment Advisers / Investment Company Act of 1940
  • ERISA regulations
  • Familiarity with additional regulations (Securities / Securities Exchange Act of 1934, CFTC regulations)
  • Knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, CFTC
NICE TO HAVE
  • Understanding of ESG a plus
  • SQL
  • Python


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