Compliance Analyst Overview • The Compliance Analyst will oversee regulatory and contractual investment restrictions, ensuring adherence to mandates and supporting trading decisions. • Collaborate with portfolio managers, traders, and legal teams to implement and monitor investment guidelines effectively. • Work closely with technology teams to enhance systems for robust pre-trade risk frameworks and reporting analytics. • Investigate potential breaches of investment restrictions, maintaining accurate records and ensuring compliance consistency. • Analyze real-time risk alerts, resolving exceptions while ensuring alignment with investment mandates. • Support the development of new monitoring and analysis strategies to meet evolving portfolio requirements. • Assist in specifying amendments to prospectus documents and investment agreements as required. • Opportunity to transition to a permanent role based on performance and organizational needs. Compliance Analyst Key Responsibilities & Duties • Analyze and resolve pre-trade and real-time compliance alerts, ensuring adherence to investment mandates. • Implement and monitor regulatory limits within risk systems, developing analytics as necessary. • Collaborate with legal and structuring teams to ensure accurate documentation of investment restrictions. • Investigate breaches of investment restrictions and maintain the central breach log. • Review investment restrictions for new mandates, ensuring proper implementation prior to finalization. • Work with technology teams to specify system enhancements for monitoring and analysis. • Support portfolio managers with trading decisions by providing compliance insights and guidance. • Ensure compliance with UCITS, 3(c)7 funds, and US mutual fund requirements. Compliance Analyst Job Requirements • Bachelor’s or Master’s degree in a field with analytical components. • 3-5 years of experience in compliance or risk management within asset management. • Proficiency in portfolio management strategies, including derivatives and short positions. • Experience reviewing investment guidelines, offering memorandums, and management agreements. • Knowledge of compliance requirements for UCITS, 3(c)7 funds, and US mutual funds. • Moderate programming skills in Excel/VBA, SQL, or Python preferred. • Strong analytical and research skills with attention to detail. • Ability to work effectively in a trading desk environment.