Bachelor's degree in computer science, finance or accounting required
CFA or CFA Candidate preferred
5+ years of experience in the investment industry
Experience with investment guideline codification using a trading and compliance system (Charles River preferred)
Strong understanding of investment accounting systems and relevant data attributes
Knowledge of relational databases and SQL querying
Ability to support critical business systems in a regulated environment
Responsibilities
Review client mandates to ensure accurate investment guideline coding
Collaborate with Portfolio Management, Trading, Compliance, and Technology teams
Provide operational support for the Charles River Trading & Compliance platform
Code and test client investment guidelines within the compliance system
Develop and maintain procedures for investment guideline codification
Lead vendor platform communications and manage compliance-related functionality
Assist in root-cause analysis for compliance events and control audits
Benefits
Hybrid work schedule with flexibility
Opportunity to work with a small, collaborative team
Exposure to high-level compliance and trading systems
Engagement with diverse teams across the firm
Potential for professional development in the investment compliance field
Full Job Description
Senior Systems Compliance Analyst
Position Description
NEAM has an opening for a Senior Systems Compliance Analyst inour Farmington, CT office.
The positionis responsible for reviewing client mandates and ensuring investment guidelinecoding accurately reflects a client's investment guidelines.
Theposition works closely with Portfolio Management, Trading, Compliance, andTechnology teams and leverages the firm's trading and compliance system,Charles River.
The position plays a keyrole in supporting the firm's pre- and post-trade compliance workflows. Successful candidates must meet tightdeadlines and be able to manage multiple priorities effectively.
The position will have contact with clients,portfolio managers and others within the firm, which requires strong managementand communication skills.
Work within asmall team to provide day-to-day operational support for NEAM's Charles RiverTrading & Compliance platform, ensuring high availability and timely issueresolution
Codes clientguidelines on Charles River platform:
Analyzes IMA'sand requests to develop or modify guidelines
Identifies datarequired from source systems to implement guidelines on compliance system
Codifies andtests guidelines utilizing compliance system to develop new rules or throughmodification of existing rules
Maintains crossreference to contractual guidelines
Develops andmaintains procedures related to investment guideline codification process
Provides vendor/ platform leadership and serves as a technical escalation point to CharlesRiver for compliance related functionality
Partners withCharles River product and support teams to evaluate platform releases, manageupgrades, and onboard new functionality
Assist in root-causeanalysis for compliance events and trading issues, including "why did thisviolation occur" investigations.
Assistin control audits to demonstrate adherence to stated policies and proceduresrelated to codification of guidelines
Qualifications
A bachelor'sdegree in computer science, finance or accounting is required.
CFA or CFACandidate a plus
Five or moreyears of experience working in the investment industry
Experience codifyingand monitoring investment guidelines utilizing a trading and compliance system(Charles River preferred)
Solidunderstanding of investment accounting systems and an understanding of fixedincome and equity data attributes that contribute to rule codification
Relationaldatabase and SQL querying knowledge
Proven abilityto support business-critical systems in a regulated environment
Strongproblem-solving skills that apply an analytical approach to diagnosing andresolving complex system issues
Workeffectively across business and technology teams
Experience withthe Charles River Trading and Compliance Platform highly preferred
We currently offer a hybrid schedule with M/F remote and T/W/TR in the officein Farmington, CT.
