Guideline Monitoring Analyst

Note to Recruiters: Guideline Monitoring Analyst Location = 280 Congress Street 4 days a week - 1 day remote Duration = 6 to 12 months with possibility for extension, and or possible conversion Keys to the Position 1. Bachelor’s Degree required 2. 1-3 years’ experience preferred 3. Investment Management experience required - experience working with equity, fixed income, derivative products, etc. 4. Investment/Portfolio Compliance experience preferred, such as exposure and knowledge of the 40Act and UCIT regulations 5. Sentinel experience is ideal, but any experience working and coding within guideline monitoring systems is preferred 6. Strong verbal and written communication skills required as the main counterparts will be both Relationship and Investment teams 7. Strong Excel needed. SQL and/or Python ideal 8. AI knowledge Submission Notes to Manager: Please include ALL of the following in your write-ups! 1. Does the candidate have any other interview activity? 2. If so, please elaborate, is it temp, temp to perm, perm etc. 3. Is the candidate close to any offers? 4. Can the candidate make the commute to 280 Congress 4 days a week? 5. Why has the candidate left the last 2 roles? 6. Please explain any gaps in the candidates resume 7. Why is the candidate a good fit for the role adhering to The Keys to the Position? Min Requirements / Posting Summary: Qualifications • 1 plus years of industry experience (internships included) • Bachelor's degree in Finance or Business-related field • Candidate must demonstrate a working knowledge of investment types, including equity and fixed income products, and derivative securities • Prior experience in guideline monitoring, investment operations or compliance, or an understanding of different regulatory regimes would be advantageous but is not required • Candidate should be energetic, self-confident, and have an inquisitive mind • An ideal candidate should be a self-starter who is results-driven, and be controls conscious • Possess strong organizational skills and proven ability to manage assignments with competing priorities • Exhibit strong interpersonal and communicative abilities • Demonstrated capability to perform both independently and collaboratively • Possess excellent attention to detail • Exhibit strong proficiency in computer skills and digital literacy, particularly with Word, Excel, and similar software applications. Exposure to AI, Python and SQL ideal but not required Description: We are currently seeking a Guideline Monitoring Analyst (“Analyst”) who will be part of the Investment Operations Team within the Global Operations. The Global Operations division brings technology and operations together to deliver better and more efficient outcomes for our clients and business partners. Responsibilities The Analyst will focus on providing support to investment teams, to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements • The Analyst will be part of the team that: • Reviews Investment Management Agreements, evaluates client guidelines, and maintains the guideline monitoring system, called Sentinel • Performs real-time, pre-trade support with investors • Resolves post-trade incident exceptions generated from Sentinel • The Analyst will work collaboratively with other Guideline Monitoring Analysts, as well as other internal teams, specifically our Global Relationship Teams, Product Management and Portfolio Management • The Analyst will develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements