Investment Compliance Senior Associate

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Investment Compliance Senior Associate, Midlothian

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Client:

Location:

Job Category:

Finance

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EU work permit required:

Yes

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Job Reference:

6a61d9960cec

Job Views:

3

Posted:

02.05.2025

Expiry Date:

16.06.2025

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Job Description:

If you are enthusiastic about Investment Guidelines and Regulations, in a client-facing role – check our new opportunity!

As an Investment Compliance Senior Associate within the Data Solutions team, you will be exposed to a wide range of financial products, including Equities, Fixed Income securities, and Complex Assets. You will be responsible for interpreting guidelines, building investment rules, investigating potential violations, and partnering with the investment manager and/or the client to assess their needs and provide solutions. This is an exciting position for a client-focused and solution-driven individual who thrives on new challenges, possesses intellectual curiosity and entrepreneurial spirit, and enjoys working in a fast-paced yet flexible environment.

Job responsibilities

1. Understand client requirements on prospectus/rule changes and work with the client to leverage platform functionality to meet reporting/data needs.
2. Analyze root causes of investment exceptions, including analysis of portfolio holdings, composition, historical transactions, and data to verify compliance.
3. Interpret guidelines and investment mandates to build logic-based rules for compliance monitoring.
4. Participate in client calls for service reviews, Due Diligence Meetings, and projects.
5. Ensure all client queries are resolved promptly and accurately.
6. Close exceptions on the compliance platform through communication with clients/fund managers and upstream teams for data/coding gaps.
7. Collaborate with global peers to define best practices and remediate manual/bespoke processes.
8. Maintain understanding of industry, market, and regulatory developments related to regulatory reporting, engagement, and disclosure for asset owners and managers.
9. Update standard regulatory rule sets and review changes in post-trade monitoring rules with clients.
10. Coordinate with Controls, Audit, and Risk teams to review process controls.
11. Assist in new client onboarding by providing market knowledge and functional expertise.

Required qualifications, capabilities, and skills

1. Experience in post-trade compliance roles within the financial services industry.
2. Knowledge of guideline coding on compliance systems: TRAC, Charles River, Sentinel, Aladdin.
3. Excellent communication and interpersonal skills for building trusted relationships with clients and stakeholders.
4. Strong knowledge of global regulatory requirements impacting post-trade activities, such as UCITS, IRS, 1940 Act, Money Market regulations.
5. Ability to articulate complex issues clearly and concisely.
6. Collaborative problem-solving approach.
7. Proven leadership skills to drive results in a fast-paced environment.
8. Deep understanding of complex instruments, fixed income, and equity products.
9. Excellent written communication skills and client engagement experience.
10. High accuracy and attention to detail.
11. Strong organizational skills with the ability to prioritize and meet deadlines.

Preferred qualifications, capabilities, and skills

1. Professional certifications such as CFA, FRM, or relevant regulations like the 1940 Act and European regulations.
2. Experience with automation tools (e.g., Alteryx, AI, ML, Python).

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