Job description
Perform pre- and post-trade compliance checks by reviewing transactions and portfolio holdings against regulatory, client, and internal investment guidelines.
Calculate and monitor risk parameters to ensure full compliance across funds and separate accounts.
Research potential compliance breaches and collaborate with portfolio and account teams to resolve outstanding issues in a timely manner.
Partner with regional and global compliance teams to escalate, track, and remediate compliance matters.
Prepare and deliver compliance-related and client reporting to support account management and stakeholder needs.
Respond to investment guideline inquiries from the trade floor and other internal or external stakeholders.
Support regional and global compliance initiatives, including process optimization and control enhancements.
Collaborate with automation and technology teams to improve the efficiency and accuracy of compliance rules.
Assist with user acceptance testing for regional and global compliance projects and system enhancements.
