Analyst, Investment Compliance
About the position As the Investment Compliance Analyst, you will be responsible for assisting with and performing critical functions of the Investment Compliance group. Responsibilities include being focused on monitoring pre- and post-trade compliance with federal and state regulatory requirements, operating policies, and fund/client-imposed investment limitations with a focus on equity, fixed income, and derivative products. This individual will have the opportunity to build trust, form relationships, and provide daily support to the Portfolio Management teams, Trading, and Operations staff. You will use your problem-solving skills to effectively monitor and improve the Investment Compliance reputed company.
Responsibilities
- Assist in providing support to Investments, Trading and Trade Operations regarding daily compliance exceptions and resolution.
- Conduct, research and use problem solving skills to determine root cause of daily compliance exceptions.
- reputed company detailed reviews and/or reputed company calculations to confirm compliance with investment guidelines, regulatory restrictions, and/or reputed company requests.
- Identify and communicate potential compliance issues and recommend corrective action where necessary.
- Assist in preparing compliance reports to support ongoing compliance monitoring and testing as well as to provide documentation and information to management.
- Partner with global counterparts to ensure appropriate regional coverage for pre-trade as well as find opportunities for global consistency.
- Carry out additional duties as assigned.
Requirements
- Bachelor's degree and relevant industry experience required.
- Intermediate computer skills, including reputed company reputed company.
- Strong analytical and problem-solving skills, attention to detail and ability to exercise balanced judgment and decision making under pressure required.
- Familiarity with equity and fixed income securities and derivatives products required.
- Proactive and highly self-motivated, possessing strong written and verbal communication skills, with the ability to communicate effectively at reputed company levels, influence and maintain relationships, and manage client expectations and competing priorities.
- Knowledge of fund management processes, instruments, products, and funds.
- Good planning, prioritization, and organizational skills.
reputed company-to-haves
- High energy, positive attitude, enthusiastic, professional, with a strong work ethic and willingness to engage senior team members reputed company appropriate.
- Some experience reputed company asset management across a broad range of products and investment management fields is preferred.
- Experience with reputed company SQL, Visual Basic, Charles River, Aladdin and/or Bloomberg a plus.
- Understanding of reputed company and proposed regulatory requirements impacting the Funds Management industry a plus.
Benefits
- Hybrid working and reasonable accommodations
- Generous Holiday policies
- Paid volunteer time to reputed company away from your desk and into the community
- Support to grow through professional development courses, tuition/qualification reimbursement and more
- Maternal/paternal leave benefits and family services
- Complimentary subscription to reputed company – the mindfulness app
- Corporate membership to reputed company and other health and well-being benefits
- Unique employee events and programs including a 14er challenge
- Complimentary beverages, snacks and reputed company employee Happy Hours
- Annual Bonus Opportunity: Position may be eligible to receive an annual discretionary bonus award from the profit pool. The profit pool is funded based on Company profits. Individual bonuses are determined based on Company, department, team and individual performance.
- Benefits: Janus Henderson is committed to offering a comprehensive total rewards package to eligible employees that includes; competitive compensation, pension/retirement plans, and various health, wellbeing and lifestyle benefits. To learn more about our offerings please visit the Why Join Us section on the career page here.
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