Compliance Analyst
Greenkey Resources LLC
Compliance Analyst Overview The Compliance Analyst will oversee regulatory and contractual investment restrictions, ensuring adherence to mandates and supporting trading decisions. Collaborate with portfolio managers, traders, and legal teams to implement and monitor investment guidelines effectively. Work closely with technology teams to enhance systems for robust pre-trade risk frameworks and reporting analytics. Investigate potential breaches of investment restrictions, maintaining accurate records and ensuring compliance consistency. Analyze real-time risk alerts, resolving exceptions while ensuring alignment with investment mandates. Support the development of new monitoring and analysis strategies to meet evolving portfolio requirements. Assist in specifying amendments to prospectus documents and investment agreements as required. Opportunity to transition to a permanent role based on performance and organizational needs. Compliance Analyst Key Responsibilities & Duties Analyze and resolve pre-trade and real-time compliance alerts, ensuring adherence to investment mandates. Implement and monitor regulatory limits within risk systems, developing analytics as necessary. Collaborate with legal and structuring teams to ensure accurate documentation of investment restrictions. Investigate breaches of investment restrictions and maintain the central breach log. Review investment restrictions for new mandates, ensuring proper implementation prior to finalization. Work with technology teams to specify system enhancements for monitoring and analysis. Support portfolio managers with trading decisions by providing compliance insights and guidance. Ensure compliance with UCITS, 3(c)7 funds, and US mutual fund requirements. Compliance Analyst Job Requirements Bachelor’s or Master’s degree in a field with analytical components. 3-5 years of experience in compliance or risk management within asset management. Proficiency in portfolio management strategies, including derivatives and short positions. Experience reviewing investment guidelines, offering memorandums, and management agreements. Knowledge of compliance requirements for UCITS, 3(c)7 funds, and US mutual funds. Moderate programming skills in Excel/VBA, SQL, or Python preferred. Strong analytical and research skills with attention to detail.**重新修正错误** #J-18808-Ljbffr Greenkey Resources LLC
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