Radial

Investment Compliance Consultant

Radial • $90K — $110K *
Boston, MA 02115In-Person
Finance & Insurance
Less than 5 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's degree in Business Admin, Finance or a Technical Discipline.
  • Experience in Compliance, preferably in Investment Management/Trading.
  • Familiarity with financial services and securities trading compliance.
  • Knowledge of Investment Compliance Regulations.
  • Proficiency in MS Office applications including Word, Excel, and PowerPoint.
  • Strong analytical skills and attention to detail.
  • Excellent communication and organizational skills.

Responsibilities

  • Deliver compliance services to buy-side clients.
  • Perform initial setup and implementation of compliance services.
  • Write and test compliance software rules and reports.
  • Manage compliance software configurations and upgrades.
  • Troubleshoot and resolve problems with compliance software.
  • Advise clients on best practices for compliance software usage.
  • Participate in internal projects to enhance service delivery.

Benefits

  • Exposure to a fast-paced, high-growth environment.
  • Opportunities to work collaboratively with global teams.
  • Focus on developing best practices in compliance services.
  • Possibility of engaging in innovative projects.
  • Professional development in compliance software and regulations.
Full Job Description
Role & Responsibilities:
The focus of this role is primarily to provide hands-on delivery of compliance services to our buy-side clients. The position requires a candidate who can perform the following:
  • Deliver the following service-related functions for Compliance Services clients:
    • Initial service setup/implementation, including business requirements such as regulatory/legal requirements, business processes/workflows, exception management, reporting, and rules of engagement.
    • Compliance software rule writing/testing, report writing, exception management.
    • Compliance software configuration changes.
    • Compliance software upgrade/regression testing.
    • Problem troubleshooting, support, and resolution.
    • Advising clients on "best practices" and optimal use of Compliance software.
  • Keep abreast of regional and global industry trends and regulatory issues.
  • Work closely with colleagues in regions globally to design and deliver regionally-relevant services.
  • Effectively manage the internal systems, applications and controls (e.g. Salesforce) to ensure adherence to the Global Compliance Services Workflow Procedures.
  • Actively participate in internal projects to optimize and scale the service.
  • Provide exemplary customer service.
Required competencies:
  • Familiarity with financial services, legal, securities trading and/or investment management compliance
  • Familiarity using a Rules based Compliance Engine.
  • Knowledge of Investment Compliance Regulations
  • Ability to perform as a team member in a fast-paced, high-growth, mission critical service delivery environment with multiple projects and tasks with changing deadlines.
  • Strong proficiency using windows based applications, including MS Office applications such as Word, Excel, PowerPoint, Access, and MS Project.
• Strong analytical skills and strict attention to detail.
  • Excellent interpersonal, verbal, and written communication skills.
  • Excellent organizational skills.
  • Creative and effective problem solving skills.
  • Excellent time-management skills.
  • Displays initiative and is self-driven.

Experience & Qualifications:
  • Bachelor's degree in Business Admin, Finance or a Technical Discipline.
  • Some exposure to and experience working within Compliance, ideally within the Investment Management/Trading space.

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About Radial

Radial is a leading provider of e-commerce technology and operations solutions for retailers and brands. The company offers a range of services, including order management, payment processing, fraud detection, and customer care. Radial's solutions are designed to help retailers and brands improve their online shopping experiences, increase sales, and reduce costs. The company serves a wide range of industries, including fashion, beauty, electronics, and home goods. Radial is headquartered in King of Prussia, Pennsylvania, and has operations in the United States, Europe, and Asia.
Learn more about Radial
Size
7,000 employees
Industry
Business Services
Founded
1999
* Ladders Estimates

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