DescriptionResponsibilitiesWe are currently looking for a Senior Compliance Analyst to join our CLEAR Compliance Consulting practice who has experience using one of the market-leading OMS (Aladdin, CRD, Allvue, Bloomberg CMGR, etc.) or a custom system for a large asset manager. The ideal candidate will have a mix of project, compliance, regulatory, business analysis, and product skills.
For this role, you will be responsible for:
- Helping to scope projects and keep them on track.
- Implementing and following IMP's proprietary compliance project methodologies.
- Performing extractions by reviewing client documentation to extract client requirements (rules, manual rules, workflows) from source documentation (IMAs, Prospectuses, SAIs, etc.).
- Coding & testing rules in various OMS.
- Implementing best practices for asset managers.
- In addition, this role will be responsible for assisting with compliance upgrade projects and playing a supporting role in comparisons and reconciliations, specifically:
- Assisting with data comparison between previous and new versions of the software such as accounts, rules, end-of-day compliance results, security master data, and other relevant compliance related data or functionality.
- Troubleshooting and identifying key data issues that are impacting compliance rules and functionality.
- Assisting with key compliance migration efforts and tasks (rule testing, account readiness review, etc.).
Requirements- Minimum 5 years' industry experience.
- Bachelor's degree in finance, business, computer science or equivalent industry experience. Industry certification or advanced degree a plus.
- Investment management (buy-side related) compliance experience, preferably as a compliance officer, compliance manager, or implementation specialist for a vendor.
- Experience working with a commercial OMS or custom system for large asset manager.
- Project management and business analysis skills preferred.
- Experienced in creating and executing test plans on projects for rule testing.
- Strong knowledge of equities, fixed income, derivatives, and the trade order life cycle
- Solid written and oral communications skills
- Understanding of compliance and the Investment Company Act of 1940 a plus
- Working knowledge of relational databases and how to write queries in Oracle or MS SQL Server a plus
LocationGreater Chelmsford Area, MA. In-person office days are required. Some travel may be required.
Benefits:- Medical / Dental Insurance
- 401k, with company match
- 10 paid holidays, 15 paid vacation days, up to 5 sick days
