About the job

You will demonstrate in-depth knowledge in the assigned area and will be an experienced sole contributor.

Responsible for overseeing funds/ client accounts and other tasks to ensure guidelines are set up appropriately, you will work with other teams and business groups. You may lead or participate in departmental projects and works on process engineering initiatives, and you will provide leadership for the team and serve as a role model for other associates.

You will review, negotiate and implement investment guidelines for new and existing Equity and/or Fixed Income funds and client accounts. You will liaise with the business partners to draft, review and interpret rules, guidelines and regulations for funds and client accounts.

You will provide expertise for client, prospectus, regulatory and internal risk limits. You will also code, implement and maintain compliance rules in the compliance systems for funds and client accounts in a timely manner, or as part of broad, more complex projects.

You will perform data or rule analysis to respond upon requests such as compliance queries, and will serve as technical resource and/or subject matter expert and point of contact for business partners to resolve queries or issues related to investment guidelines and portfolio compliance.

You will provide leadership/ direction to the team and will serves as a positive role model and mentor to other associates. You will manage the workflows within the team to ensure tasks are completed in a timely manner. You will oversee daily production, identify and/or escalate issues and partner managers to facilitate and drive timely resolution.

You may perform quality checks and verify the accuracy of work prepared by other associates, and will plan or participate in the training of other associates. You will assist in identifying training needs and provide feedback regarding associate performance and development needs. You may lead or drive projects and team/ department initiatives, and performs additional responsibilities as assigned.

  • Tertiary educated
  • Strong experience in investment compliance, guidelines analysis and/or compliance rule coding across equity and fixed income asset classes
  • Familiarity with Charles River Development and/or Aladdin systems is a plus
  • In-depth knowledge of the securities and investment business and ability to apply to work assignments
  • Ability to be self-driven to understand how and why things work, the financial industry, and/or the connections between processes and technology
  • Effective and influential written and oral communication skills with a diverse group of associates, including investment and legal professionals

 

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