Investment Management Firm (100B+ AUM)
- Fulltime
- Hybrid, 3 days in office in Chicago Loop
- Full relocation available
- Base + Bonus 140k - 160k
- Robust benefits package
Job Details:
- Code, test, and implement investment compliance rules in Charles River IMS (CRIMS)
- Interpret investment agreements and documents
- Identify compliance requirements and establish validation rules
- Maintain and update client-directed restriction lists
- Create daily review of reports for compliance alerts, exceptions, and necessary corrections
- Support clients and colleagues for compliance questions
- Analyze compliance alerts for accurate decisions
- Complete periodic client certifications and questionnaires.
- Assist in updating compliance policies in response to business or regulatory changes.
MUST HAVE EXPERIENCE
- 5+ Years of professional work experience
- 2 Years of Investment Compliance experience
- 1+ years of coding and testing compliance rules, benchmark comparative rules, and regulatory guidelines
- Charles River IMS (CRIMS) or BlackRock Aladdin
- Strong understanding of the Securities industry and investment management regulations
- Investment Advisers / Investment Company Act of 1940
- ERISA regulations
- Familiarity with additional regulations (Securities / Securities Exchange Act of 1934, CFTC regulations)
- Knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, CFTC
NICE TO HAVE
- Understanding of ESG a plus
- SQL
- Python