Investment Compliance Analyst

Key Responsibilities

• Investigate compliance exceptions in the context of the defined portfolio strategy and investment guideline rule
• Partner with technology and upstream teams to troubleshoot compliance guideline rule exceptions and articulate validation commentary with clarity.
• Support testing and implementation of rule changes relating to derivatives, CFTC, IRC, concentration limits, and other investment restrictions.
• Ensure timely resolution of issues and communicate risks/escalations to stakeholders.
• Collaborate with Compliance, Operations, Technology, Client Service, and Client Management teams to deliver project objectives.

Required Experience

• 3-8 years of experience in Investment Compliance, Portfolio Compliance, Compliance Reporting, or Investment Operations.
• Good understanding of investment restrictions, regulatory compliance, and portfolio monitoring.
• Experience interpreting client mandates, IMAs, prospectuses, and regulatory requirements will be a preferred advantage
• Familiarity with compliance platforms such as Charles River, Sentinel, Aladdin, Bloomberg AIM, or similar tools.
• Strong analytical, problem-solving, and stakeholder management skills.

Ideal Candidate

• Experience supporting compliance remediation, regulatory change, platform migration, or transformation initiatives.
• Ability to work independently and deliver results within aggressive project timelines.
• Strong communication skills with the ability to engage business, compliance, and technology stakeholders.