Investment Compliance Analyst
El Segundo Direct Hire Audit Up to 90K 06/26/2020

Seeking a Compliance Analyst for its El Segundo, CA based headquarters. The Compliance Analyst reports into the Investment Compliance Team, which is primarily responsible for the oversight and management of regulatory compliance risk related to ISG’s investment and trading activities. The Investment Compliance Team ensures that the firm’s investment and trading activities are compliant with regulatory requirements, portfolio restrictions, and internal controls

Job Description:

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  • Monitor pre-trade and post-trade compliance with investment restrictions
  • Assist in maintaining and improving systems and processes related to investment and trading compliance
  • Prepare routine portfolio compliance reports utilizing the firm’s order management system
  • Serve as a resource for the firm’s investment and trading teams to investigate and resolve compliance testing and reporting issues
  • Perform pre-trade compliance monitoring and testing across portfolios by reviewing relevant restrictions, pre-clearing alerts as appropriate when generated by the compliance system, and addressing other pre-clearance requests
  • Using the firm’s order management system and manual processes, conduct post-trade reviews across portfolios by reviewing portfolio holdings and transactions
  • Escalate issues and questions to the Investment Compliance Team and propose solutions as appropriate
  • Assist with special projects as assigned by supervisor

Requirements:

  • Experience in the financial services, investment management or related industries
  • Proficient with the Microsoft Office Suite, including strong Excel and ERP system skills
  • Strong analytical, problem-solving and organization skills 
  • Excellent verbal, written and interpersonal communication skills
  • Able to communicate with professionals at all levels
  • Able to work both independently and collaborate as part of a team
  • Able to adapt to changing priorities
  • Detail, deadline and goal-oriented
  • A team player
  • Strong work ethic

Experience:

  • Bachelor’s degree in business, accounting or related field and a minimum of 2 years' relevant experience
REF # 35575

Job #: 35575

Location: El Segundo

Job Type: Direct Hire

Salary: Up to 90K