Investment Compliance - Senior Associate

We are looking for a compliance professional to support our investment company clients and their compliance teams by providing end-to-end support and sharing meaningful insights about compliance with SEC requirements and investment guidelines. As a Senior Associate, you will be responsible for onboarding new clients, performing annual reviews, and analyzing operations risks. You will also work with internal teams to translate client requirements into actionable items and ensure timely resolution of issues.

Requirements

• Good knowledge of U.S. Investment Companies Act of 1940 or UCITS
• Strong communication, interpersonal, organizational, and time management skills
• Ability to analyze investment guidelines and policies to determine testing requirements
• Deadline and detail oriented
• Professional experience in financial services, securities sector and capital markets
• Analytical skills
• Strong understanding of Alteryx workflow (designing and refinement)
• Knowledge of SQL
• Experience in Fund Administration or related work
• Investment compliance monitoring or coding experience is a must (pre or post-trade investment compliance)
• Certifications: FRM (Financial Risk Manager by GARP) / CFA (Chartered Financial Analyst) / CISI (Chartered Institute for Securities & Investment) are preferred

Benefits

• Generous medical care
• Insurance
• Savings plans
• Flexible Work Program
• Development programs and educational support
• Inclusion, Diversity and Social Responsibility