Compliance Analyst

Responsibilities

• Work within a small team to provide day‑to‑day operational support for Charles River Trading & Compliance platform, ensuring high availability and timely issue resolution
• Codes client guidelines on Charles River platform
• Analyzes IMA’s and requests to develop or modify guidelines
• Identifies data required from source systems to implement guidelines on compliance system
• Codifies and tests guidelines utilizing compliance system to develop new rules or through modification of existing rules
• Maintains cross reference to contractual guidelines
• Develops and maintains procedures related to investment guideline codification process
• Provides vendor / platform leadership and serves as a technical escalation point to Charles River for compliance related functionality
• Partners with Charles River product and support teams to evaluate platform releases, manage upgrades, and onboard new functionality
• Assist in root‑cause analysis for compliance events and trading issues, including “why did this violation occur” investigations.
• Assist in control audits to demonstrate adherence to stated policies and procedures related to codification of guidelines

Qualifications

• A bachelor’s degree in computer science, finance or accounting is required.
• Five or more years of experience working in the investment industry (CFA or CFA Candidate a plus)
• Experience codifying and monitoring investment guidelines utilizing a trading and compliance system (Charles River preferred)
• Solid understanding of investment accounting systems and an understanding of fixed income and equity data attributes that contribute to rule codification
• Relational database and SQL querying knowledge
• Proven ability to support business‑critical systems in a regulated environment
• Strong problem-solving skills that apply an analytical approach to diagnosing and resolving complex system issues
• Work effectively across business and technology teams