Decimal Point Analytics - Compliance Specialist

Summary:

We are seeking an Investment Guideline Compliance Analyst to join the Asset Management Guideline Oversight (AMGO) group within the global Risk team. As an independent control group, AMGO is responsible for ensuring that investment portfolios remain compliant with regulatory, prospectus, client and internal guidelines. The role requires a technical understanding of investment products and the functionality of the Aladdin Order Management System. The candidate will utilize their experience and expertise to perform quality control testing of existing and new compliance rules. The successful candidate will be able to work within a team environment and utilize sound judgment to determine whether issues require further escalation. Further, the candidate will demonstrate leadership qualities and the ability to work with considerable independence. As an experienced hire, it is expected that the candidate will be able to hit the ground running and make an immediate impact.

Responsibilities:

- Serve as a lead quality control reviewer for existing and new rules that will be coded in Aladdin to monitor investment guideline compliance.

- Enhance existing rules to better capture requirement while minimizing false alerts.

- Develop and maintain Aladdin rule library including backup of quality control testing and change history audit trail.

- Develop and maintain testing schedule of rules that are considered high impact.

- Review, interpret and summarize investment guidelines for new/existing mandates.

- Perform periodic and comprehensive testing of accounts to ensure compliance with client guidelines.

- Interact and coordinate with Portfolio Managers, Legal & Compliance, Operations, Technology, Relationship Managers, Operational Risk and Client Service as it relates to investment guideline compliance issues.

Requirements:

- Attention to detail is crucial.

- At least 5 years of experience in investment guideline compliance in an Asset Management

firm.

- At least 3-5 years experience utilizing Aladdin.

- Technical understanding of investment products and financial instruments, including derivatives, is highly preferred.

- BS / BA/MA/MBA degree. Accounting, Business or Finance is preferred.

- Familiarity with UCITS and 1940 Act regulations preferred.

- Strong communication skills (verbal/written).

- Self-motivated individual with the ability to thrive in a dynamic and fast-paced environment, proven ability to work successfully independently and as part of a global team.