Compliance Analyst Opportunity in Baltimore, MD area

Compliance Analyst - Baltimore, MD Area

SUMMARY:
Financial Services/Investment Management firm looking to add an experienced professional to their Compliance staff with one of the following backgrounds: Investment Compliance, Fund Accounting, Portfolio Accounting, or Trade Support. Prior Investment Compliance experience is ideal.

RESPONSIBILITIES:
Facilitate integration of new business into the investment compliance monitoring program for clients and products subject to more complex requirements (fixed income/derivatives/UCITS/MPF) Analyze legal documents/identify potential issues/propose creative monitoring solutions Identify trends in new business and collaborate with investment staff/attorneys/client operations managers to proactively manage changes in business direction Prepare complex compliance certifications Identify/communicate/escalate issues that present risk; propose risk-reduction solutions; lead problem resolution/process improvement Utilize subject matter expertise and innovation to solve complex business problems/improve current processes/meet changing business needs Identify/recommend/develop process and technology improvements to reduce operational risk/increase levels of customer service via faster delivery/higher accuracy Frequently communicate with trading/portfolio management/legal/client operations/etc., demonstrating an advanced understanding of how the investment compliance monitoring program impacts these groups by applying technical and subject matter expertise to propose efficient and practical solutions to their compliance-related problems Ensure adequate procedures/controls are in place to minimize financial/reputational risk Help train new staff/review work of less experienced staff/share knowledge and experience with others

REQUIREMENTS:
Bachelor’s Degree in related field (accounting/finance/etc.) strongly preferred Associate’s Degree/HS Diploma with 3-5+ years related work experience will be considered
4+ years of work experience in investment compliance or related field
4+ (fund
accounting/portfolio accounting/trade support) preferred Experience with compliance and/or trading systems (Charles River) preferred Team player with excellent organizational skills/attention to detail; strong customer service orientation with consultative approach, strong interpersonal and written/oral communications skills; proven analytical/problem solving skills required In-depth investment/securities knowledge and working knowledge of domestic/international securities law preferred

Apply: http://www.brokeragejobs.com/jobdetails:205589