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
  • Banking
  • Broker/Dealers
  • Commercial Lending
  • Consulting
  • Corporate Treasury
  • Family Offices
  • Financial Services Software Services
  • Insurance & Pension Funds
  • Municipal Finance
  • Private Equity
  • Real Estate Finance
  • Trading

Brokerage Consultants - Financial Recruiting

Tap our resources.

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:

Job Type:

Senior Investment Compliance Analyst (1197-230)

Los Angeles, CA

The Senior Investment Compliance Analyst will join a team of investment
compliance professionals that provides compliance support to the companys
investment teams, as well as other functions within the firm. Specifically,
this individual will be responsible for monitoring current holdings and
daily trading activity against client guidelines, restrictions, internal
policies/procedures, and relevant regulatory requirements. In addition, this
individual will be involved in the coding of restrictions, reporting, trade
oversight and strategic projects.

Review and interpret all governing documents, including but not limited to
Investment Management Agreements (IMA), Prospectuses, Statement of
Additional Information (SAI), and Fund Declarations
Identify and resolve any issues/concerns with investment guideline
Review systematic feasibility of investment guidelines and provide
guidance/expertise as it relates to coding in the compliance monitoring
system, Charles River (CRD)
Participate in the new account setup and guideline change process
Develop and test automated rules in CRD, and any associated manual
monitoring needed
Review EOD portfolio compliance results, identify and resolve any active or
passive compliance issues
Work with Portfolio Management, Trading, Data Management and Investment
Control to determine trade suitability, review daily trading activity and
identify and resolve any associated compliance issues
Work with Client Services, Compliance, Legal, Portfolio Management and
Information Technology to respond to client requests for reporting; develop
internal and external reports to respond to client requests
Identify ways of creating efficiencies/improving processes to the investment
compliance program using best practices
Effectively participate in internal and external audits of controls and
associated testing
Undertake special compliance-related projects as assigned

Bachelorís degree with 6+ years of relevant experience, including 2+ years
of rules coding experience in CRD
Solid working knowledge and understanding of capital markets; experience
with fixed income, equity and derivative instruments
Knowledge of the Investment Advisers Act of 1940, the Investment Company Act
of 1940, the Securities Exchange Act of 1934, and other regulatory
Strong analytical skills with excellent attention to detail
CRD knowledge or equivalent experience
Proficiency in Bloomberg and other major software applications

Compliance and Legal