Compliance Analyst, Finance & Banking

A highly respected and extremely stable investment management organization is seeking a Senior Systems Compliance Analyst to join a critical, high-visibility team supporting its Charles River Trading & Compliance platform. This is an outstanding opportunity for someone who enjoys working at the intersection of investment management, compliance, portfolio operations, and technology.

Location:
Hartford County, CT - Hybrid

Salary: $145,000 – $165,000 +Bonus

This role is ideal for a professional who understands how investment guidelines are translated into real-world trading and compliance workflows. You will work closely with Portfolio Managers, Trading, Compliance, Operations, and Technology teams to ensure client mandates are accurately interpreted, codified, tested, and monitored within the Charles River platform.

The environment is collaborative, intellectually strong, and known for exceptionally low turnover. You will have meaningful exposure to senior leadership, portfolio managers, and clients while playing a direct role in supporting mission‑critical investment compliance operations.

• Analyze Investment Management Agreements (IMAs) and client mandates to interpret investment guidelines and restrictions
• Translate complex investment requirements into logical rule structures and compliance workflows within Charles River
• Develop, modify, test, and maintain compliance rules supporting pre‑trade and post‑trade monitoring
• Work closely with Portfolio Managers, Compliance, Trading, and Technology teams to support daily investment compliance operations
• Investigate compliance exceptions and trading issues, including root‑cause analysis and “why did this violation occur” reviews
• Partner with Charles River support and product teams on upgrades, releases, enhancements, and issue resolution
• Identify and source required investment and accounting data needed for accurate rule codification
• Maintain documentation, procedures, and cross‑references tied to contractual investment guidelines
• Support audit and control processes related to investment compliance and guideline management
• Serve as an important escalation point for compliance‑related Charles River functionality and workflow issues

This is not simply a production support or operational compliance role. This team is responsible for building and maintaining the actual rules that govern how client portfolios are managed. The work directly impacts trading workflows, regulatory adherence, and portfolio oversight.

The right person will understand how to interpret investment language, ratings, sectors, durations, concentrations, and portfolio restrictions — then convert that information into structured logical statements and enforceable compliance rules within Charles River.

This position offers significant visibility and long‑term career stability within a highly regarded investment management environment.

• 5+ years of experience within investment management, asset management, trading compliance, or investment operations
• Strong experience working with investment guidelines, investment data, compliance monitoring, or portfolio restrictions
• Experience with the Charles River Trading & Compliance Platform is highly preferred
• Strong understanding of fixed income and equity securities, investment terminology, ratings, sectors, and portfolio attributes
• Ability to interpret IMAs and translate investment mandates into system‑based compliance rules
• SQL and relational database knowledge preferred
• Strong analytical and problem‑solving skills
• Experience supporting business‑critical systems within regulated financial environments
• Excellent communication skills with the ability to work across business and technology teams
• Bachelor’s Degree in Finance, Accounting, Computer Science, or related field required
• CFA or CFA Candidate is a plus

This is an exceptional opportunity to join a financially strong organization with an outstanding reputation, extremely stable environment, and a team where your work will have direct impact and visibility across the business.