Investment Operations & Compliance Analyst

Company Description

Cincinnati Asset Management, Inc. (CAM) is an investment management firm founded in 1989 specializing in fixed income. We manage investment strategies for individual and institutional clients, with fundamental credit research at the core of our investment process.

CAM is a lean, collaborative organization where employees have the opportunity to work across the business, take ownership of meaningful responsibilities, and develop a broad understanding of investment management.

Location: 8845 Governors Hill Dr, Cincinnati, Ohio

Work Arrangement: On-site

Position Summary

CAM is seeking an Investment Operations & Compliance Analyst to join our team and work across investment compliance, operations, performance reporting, and special projects.

Reporting directly to the Chief Compliance Officer, this role will provide primary support to the CCO while working closely with Investment Operations and other teams across the firm. The Analyst will have meaningful responsibility and will be expected to take ownership of assignments and projects from start to finish.

We are looking for someone who is analytical, detail-oriented, organized, curious, dependable, and willing to learn. The ability to understand complex information - including regulatory and legal requirements - and translate it into practical actions is important. Prior investment compliance experience is not required.

This is an opportunity to build a broad foundation in investment management rather than specializing in a single function.

Key Responsibilities

Compliance & Risk Management (50%)

• Lead the firm's annual compliance review, including coordinating testing, maintaining documentation, identifying and following up on issues, and working with the CCO and other team members to address findings. The level of independence and responsibility will increase as the employee develops experience in the role.
• Monitor investment accounts for compliance with client investment guidelines and firm policies.
• Review marketing materials and communication for compliance with applicable rules and regulations.
• Assist with Code of Ethics monitoring.
• Help maintain compliance records, calendars, policies, and procedures.
• Assist with regulatory filings, audits, examinations, and due diligence requests.
• Monitor regulatory developments and assist with implementing changes to policies and procedures.
• Support the firm's GIPS compliance and performance reporting processes.

Investment Operations & Performance (35%)

• Work closely with Investment Operations on processes supporting client accounts.
• Coordinate responses to investment RFPs, due diligence questionnaires, and other requests.
• Assist with reviewing investment data, account information, transactions, and portfolio activity for accuracy and completeness.
• Assist with performance reporting, attribution and analysis.
• Help investigate and resolve data discrepancies and other issues.
• Assist with maintaining and improving processes, controls, and documentation.
• Support system implementations, upgrades, testing, and other technology-related projects.
• Assist with reporting and analysis related to portfolio characteristics, performance, and investment activity.

Projects & Process Improvement (15%)

• Take ownership of assigned projects and work with employees across the firm to complete them.
• Review existing processes and identify opportunities to improve efficiency, accuracy, and internal controls.
• Assist with special projects involving operations, compliance, technology, performance, marketing and risk management.
• Develop an understanding of the firm's systems and help identify opportunities for automation and process improvement.

Qualifications

• Bachelor's degree.
• 2-4 years of relevant professional experience.
• Strong analytical and problem-solving skills.
• Excellent attention to detail and ability to investigate discrepancies.
• Strong organizational and time-management skills.
• Strong written and verbal communication skills.
• Proficiency with Excel, including PivotTables;
  experience with macros is a plus.
• Ability to work independently while collaborating effectively with others.
• Interest in investment management, financial markets, operations, or compliance.

Experience with investment adviser compliance, SEC regulations, GIPS, or investment management operations is a plus, but not required.

Professional Development

CAM is committed to developing employees and providing opportunities to expand their knowledge and responsibilities.

As the employee develops in the role, CAM expects to support relevant professional education, which may include the Certificate in Investment Performance Measurement (CIPM) offered by the CFA Institute, with approved examination and program expenses covered by the company.

The goal is for the Analyst to become a knowledgeable resource across investment operations, performance measurement, and compliance, with increasing responsibility over time.

What Success Looks Like

The successful candidate will be someone who:

• Produces accurate, high-quality work.
• Looks for ways to improve processes rather than simply following them.
• Asks thoughtful questions and learns quickly.
• Can take a complex assignment and see it through to completion.
• Communicates clearly and works well with others.
• Takes ownership while knowing when to ask for guidance.

If you're looking for a role where you can learn how an investment management firm operates from the inside and build expertise across multiple areas of the business, this position offers that opportunity.