BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
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Brokerage Consultants - Financial Recruiting

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They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:
872-211

Job Type:
Permanent

Title:
Investment Compliance Analyst (872-211)

Location:
Chicago, IL

Description:
Global investment management firm seeks Investment Compliance Analyst to
join their team to focus on pre/post-trade compliance

RESPONSIBILITIES:
Maintain pre/post trade compliance restrictions using Blackrock Aladdin
Coding/instruction to third parties, review/testing for client intake/fund
launches/Investment Management Agreement amendments
Oversee automated/manual exception monitoring
Identify/manage risks and ensure adequate/effective control processes in
place
Provide support to Front Office regarding pre/post trade rules and
exceptions
Maintain stop and other restricted list on pre-trade systems, procedures
documents
Build and maintain strong relationships with overseas business units
Assist with projects/initiatives including audits and Actions/Issues Log
Review and interpret new Investment Management Agreements and amendments as
well as prospectuses to determine if rules can be automated
Provide training/advice to other team members on areas of expertise

REQUIREMENTS:
Excellent organizational/time management/decision-making skills
3-5 years’ experience pre and post-trade compliance/trade compliance
monitoring
Strong understanding of investment management process across full range of
asset classes/client types
Strong understanding of compliance monitoring processes including
interpretation of discretionary client investment management agreements
Strong IT literacy as business user. Experience in BRS Aladdin strongly
preferred
Good understanding of project management methodologies
Excellent communication skills
Bachelor’s degree preferred


Category:
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Contact:
matt@bcius.com