CLIENT REPORTING & INVESTMENT COMPLIANCE

Client Reporting - Investment Compliance - US Asset Management

Role Overview:

We are seeking a professional to support client reporting, investment compliance monitoring, and compliance documentation within a US Asset Management environment. The role requires strong analytical skills, an understanding of investment compliance concepts, and the ability to review information carefully, investigate exceptions, and deliver accurate client-ready outputs.

Key Responsibilities:

Client Reporting & Investment Compliance:

- Prepare and review client reports for US-based asset management clients, ensuring accuracy and timely delivery.

- Review investment data against client guidelines and investment restrictions.

- Investigate compliance exceptions, identify discrepancies, and follow up for resolution.

- Recognize the importance of compliance checks and the impact of errors or missed exceptions.

DDQs, RFPs & Compliance Documentation:

- Prepare and review DDQs, RFPs, compliance certificates, and other client-related documentation.

- Gather and validate information from relevant sources to ensure responses are accurate, consistent, and supported.

- Understand the purpose of the information being reported rather than relying only on existing templates.

Systems & Reporting:

- Use an Order Management System (OMS) or similar platform to extract reports and review investment and compliance data.

- Analyze system-generated reports, investigate flagged items, and identify discrepancies requiring further review.

- Support improvements to reporting accuracy, efficiency, and consistency.

Stakeholder Coordination:

- Coordinate with internal teams to resolve queries and meet reporting deadlines.

- Follow up on outstanding information and maintain appropriate supporting documentation.

- Escalate potential compliance concerns in line with established procedures.

Required Qualifications & Skills:

- 2 - 5 years of experience in Asset Management, Investment Compliance, Trading Compliance, Client Reporting, or Regulatory Reporting.

- Good conceptual understanding of investment compliance, client investment guidelines, and compliance monitoring.

- Ability to analyze information, understand exceptions, and appreciate the importance of accuracy in reporting and documentation.

- Strong analytical skills, attention to detail, communication skills, and a practical approach to problem-solving.

Preferred Experience:

- Experience supporting US-based asset management clients in Investment Compliance, Trading Compliance, Client Reporting, or Regulatory Reporting.

- Prior experience preparing or reviewing DDQs, RFPs, compliance certificates, or similar documentation.

- Hands-on experience with an Order Management System (OMS), including report extraction and review.

- Exposure to trading compliance processes and investment management workflows.