Assistant Manager - Compliance - Investments

Role - The Investment Compliance Analyst will work closely with Business Partners in Investment Compliance at North America to help in administration of Compliance workflows related to Portfolio Monitoring and Investment Compliance, and Compliance program management.

Skills/Capabilities :

- Experience in investment compliance monitoring, data analysis, rules coding and testing

- Understanding of financial markets and asset management, including compliance processes, controls, and testing

- Analytical expertise to review data, extract trends and performance and drive insights

- Strong analytical skills with high attention to detail

- Strong proficiency in technology and use of systems such as Bloomberg, Aladdin, ICE, etc.

- Expertise in MS Excel and MS Word

- Ability to learn via remote trainings

- Decision making ability supported by data

- Able to manage multiple priorities and conflicting deadlines

- Demonstrate critical thinking and problem-solving abilities

- Excellent organizational, interpersonal, and communication skills

- Customer service focus

Responsibilities :

- Conduct daily, monthly, and quarterly monitoring and testing of investment compliance trade activities (e.g. Best Execution, Cross Trades, Trade Aggregation and Allocation, etc.) to ensure adherence to the client guidelines and regulatory requirements

- Clearly communicate results of testing work

- Coding of investment guideline rules within the Trade Order Management system (BlackRock Aladdin)

- Testing of guideline rules for effectiveness

- Review of post-trade alerts on a nightly basis to escalate any issues up to the Portfolio Monitoring and Investment Compliance team

- Support of compliance certification process as part of client reporting

- Assist with implementing best practices and process improvements

- Provide support for internal Compliance testing across investment operations.

- Assist the Compliance team on projects as needed in the development of a global compliance program; may perform activities across different jurisdictions based on needs/requirements.

- Participate in numerous ad hoc projects such as process developments and improvements, scenario analysis, and technology testing.

Education and Experience :

- Graduate degree in Commerce and nice to have - Full time MBA (Finance)

- Around 6 -8 years of experience in investment compliance domain - monitoring, data analysis and testing

- Sound knowledge in Microsoft Excel with ability to build formulas and macros