Investment Compliance - Client Services Team, Officer
- You will manage a number of complex clients with varied fund types (e.g. UCITS, AIFs, Pension funds) and assist them with onboarding new funds and maintaining the compliance monitoring of their existing funds, reviewing Regulations, prospectuses and investment management guideline.
- Review and audit investment compliance restrictions and monitoring.
- Address/respond to all client services inquiries and fully research all issues arising.
- Conduct service review calls on a regular scheduled basis.
- Assist senior management with designated compliance projects and assignments and act as coordinator where required.
- Ensure detailed documentation is maintained for audit purposes.
- Work with IT and data teams to ensure all client requirements are addressed.
- Help the team transition to a new compliance system.
- Other duties as assigned.
- Bachelor's degree or equivalent with focus in business, accounting or finance.
- Typically have 6+ years' experience in the Financial Services industry (preferably in Investment Compliance)
- Strong securities knowledge and / or pursuing the CFA designation
- Effective verbal and written communication skills and excellent interpersonal skills
- Excellent computer skills including knowledge of all Microsoft Office applications including Visual Basic.
- Strong research and analytical skills
- Ability to develop and maintain business relationships both internal and external clients.
- Experience with MIG21, Charles River or other automated compliance engine an advantage