Compliance Analyst

Full Time
8 months ago


  • Act as primary individual responsible for:
  • Design and testing for compliance rules in Bloomberg AIM, including ongoing management of the existing rules for effectiveness and efficiency
  • Daily portfolio monitoring, including pre-trade, via Bloomberg AIM
  • Execution of compliance monitoring activities connected with the portfolio activities across all investment products (e.g., fair allocation, cross trading, interfund trading, soft dollars, etc.)
  • Prepare Compliance portfolio management oversight reports, including but not limited to:

o Commissions monitoring

o Portfolio monitoring

o Market Abuse Review

o Institutional Client Reporting


Provide support to compliance teams in respect to:

  • The preparation, review and filing of regulatory reports connected to portfolio activities, holdings, etc. (e.g., aggregate holdings, 13F, etc.)
  • The design and implementation of analytical templates, spreadsheets to support compliance trend and monitoring activities involving large volumes of data



  • Collaborate with other compliance team members and other departments as needed in the development, maintenance and administration of compliance programs associated with portfolio & trading practices monitoring.
  • Provide timely, relevant information, insight toward the creation of internal reports, records and other documentation needed by compliance teams


Required Skills and Knowledge:

  • Proficiency in the use of Bloomberg, AIM and exporting of data for analytical purposes
  • Proven proficiency in the manipulation of data in excel
  • Strong understanding in capital markets, security types & characteristics
  • A general understanding of market-based rules associated with trading, investment restrictions and regulatory expectations as it relates to the portfolio restrictions for investment funds
  • Ability to undertake special analytical projects, including facilitating change, integration across various entities, products and business lines


Education and Experience:

  • University Degree in Business or a related discipline
  • Experience with trade monitoring within Buy-Side asset manager industry
  • Experience coding investment guidelines in trade order management system

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