As a Fixed Income Portfolio Compliance Analyst, you will demonstrate a working knowledge of Portfolio Compliance processes and analyse pre-trade, post-trade and batch compliance exceptions, and you will assist with the facilitation of investment process. You will directly engage the Investment Group and work with Trading, and other Investment Control teams or business groups to resolve outstanding issues
You will complete client reporting, rule signoff and works on departmental projects and process initiatives.
Performs pre and post-trade compliance checks, in a timely manner
Performs batch compliance review of portfolio including previous day's fixed income trading activities and market value movements
Resolves compliance inquiries from Investment Group, Trading, Legal, Accounting, clients and other business units
Strengthens relationships with the Investment Group and Trading by anticipating needs and offering solutions
Completes and reviews daily, monthly and quarterly compliance reports.
Reviews and validates rules entered into compliance monitoring system by Fund Administration teams.
A desire to understand how and why things work, the financial industry and/or the connections between processes and technology
Working knowledge of Fixed Income Portfolio Compliance functions, and interconnections with other investment control teams' policies, procedures and systems and ability to apply them to work assignments
Working knowledge of the securities and investment business and investment process and ability to apply to work assignments