Compliance Manager 2

Investment Compliance Analyst

This person will work closely with Client Services, Legal, Investment Management and the Contracts Office on contract and prospectus/SAI development. Perform review of prospectus/SAIs and investment management agreements to identify and analyze investment guidelines and restrictions. Perform similar review and analysis of guideline amendments. Implement or code rules for monitoring individual accounts' guidelines. Identify, escalate and resolve interpretive issues. Manage account documentation as well as a current knowledge of industry practice and developments. Identify data requirements needed for investment compliance monitoring. Research applicable laws and regulations, analyze their effect on business practices and work with legal partners to clarify requirements. Assist with the development of automated rules to monitor for compliance with investment guidelines and restrictions. Test rules used to monitor for compliance with investment guidelines and restrictions. Conduct periodic account reviews to assess efficiency and effectiveness of investment guideline monitoring and validate analysis with investment management personnel.

Required Qualifications: 3 - 5 years working in the Financial Services industry, with proven success in audit and/or compliance functions. Bachelor's degree or equivalent work experience Knowledge of SEC and other regulatory requirements. Strong written and verbal communication skills. Ability to prepare and/or present material for senior leaders, with leader support.