Compliance Analyst
Tri-Com Consulting Group
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
Vacancy posted 1 day ago
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