Investment Compliance Consultant

Investment Compliance Consultant

Compliance

Boston, MA

Asset Management

JO-

The focus of this role is primarily to provide hands-on delivery of compliance services to our buy-side clients. The position requires a candidate who can perform the following:

• Deliver the following service-related functions for Compliance Services clients:
• Initial service setup/implementation, including business requirements such as regulatory/legal requirements, business processes/workflows, exception management, reporting, and rules of engagement.
• Compliance software rule writing/testing, report writing, exception management.
• Compliance software configuration changes.
• Compliance software upgrade/regression testing.
• Problem troubleshooting, support, and resolution.
• Advising clients on "best practices" and optimal use of Compliance software.
• Keep abreast of regional and global industry trends and regulatory issues.
• Work closely with colleagues in regions globally to design and deliver regionally-relevant services.
• Effectively manage the internal systems, applications and controls (e.g. Salesforce) to ensure adherence to the Global Compliance Services Workflow Procedures.
• Actively participate in internal projects to optimize and scale the service.
• Provide exemplary customer service.

Familiarity with financial services, legal, securities trading and/or investment management compliance

Familiarity using a Rules based Compliance Engine.

Knowledge of Investment Compliance Regulations

Ability to perform as a team member in a fast-paced, high-growth, mission critical service delivery environment with multiple projects and tasks with changing deadlines.

Strong proficiency using windows based applications, including MS Office applications such as Word, Excel, PowerPoint, Access, and MS Project.

Strong analytical skills and strict attention to detail.

Excellent interpersonal, verbal, and written communication skills.

Excellent organizational skills.

Creative and effective problem solving skills.

Excellent time-management skills.

Displays initiative and is self-driven.

Bachelor's degree in Business Admin, Finance or a Technical Discipline.

Some exposure to and experience working within Compliance, ideally within the Investment Management/Trading space.