Sr. Analyst, Investment Compliance - NA Monitoring
$87,000–$148,000 year
HybridBaltimore, Maryland, United States
Job Summary
Analyze pre-trade, post-trade, and batch compliance alerts in Charles River (CRD) to assess permissibility and conduct test trades for corporate actions and in-kind transitions. Liaise with trading, legal, and client operations personnel to interpret guidelines, resolve violations, and manage manual processes not coded into the system. Oversee the Global Client Investment Reporting (GCIR) process and actively identify opportunities to enhance efficiency through automation, rule optimization, and process improvement initiatives. Lead medium-sized projects to deliver impactful outcomes while challenging existing policies to address emerging challenges and regulatory changes.
Required Qualifications
- Bachelor's degree or the equivalent combination of education and relevant experience
- 5+ years of total relevant work experience
- Experience with Trading/IBOR/OMS systems
- Knowledge of Charles River Compliance System (CRD) or comparable compliance platform
- Practical understanding of investment security types (e.g. stocks, bonds, derivatives)
- Ability to adapt and thrive in a dynamic environment with evolving priorities
- Ability to thrive in a trading-related atmosphere
- Strong organizational skills; proficient in handling multiple tasks simultaneously
- Strong research and problem-solving skills
- Applicants for employment in the US must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States
Desired Qualifications
- Proven analytical skills within the area of investment compliance or a related field
- Strong attention to detail; commitment to quality
- Strong customer service orientation
- Strong interpersonal skills; effective written and oral communications
- Ability to thrive in a trading-related atmosphere
- Strong organizational skills; proficient in handling multiple tasks simultaneously
- Strong research and problem-solving skills
- Team player
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