Senior Compliance Analyst

Description 

IMP Consulting is a high-profile consulting company north of Boston serving the investment management industry. As a direct result of the quality of the consulting product that we deliver, our client roster features some of the leading names in the asset management industry.  Our patented CLEAR Compliance service offers an AI-assisted solution for ingesting compliance documentation, digitizing guidelines and working seamlessly with the OMS.   IMP offers a competitive and rewarding career path with opportunities to advance to senior-level roles within the firm.  By joining IMP, you will play a meaningful role in the development of the firm and our consulting innovations. 

Responsibilities 

We are currently looking for a Senior Compliance Analyst to join our CLEAR Compliance Consulting practice who has experience using one of the market-leading OMS (Aladdin, CRD, Allvue, Bloomberg CMGR, etc.) or a custom system for a large asset manager. The ideal candidate will have a mix of project, compliance, regulatory, business analysis, and product skills. 

For this role, you will be responsible for: 

1. Helping to scope projects and keep them on track.  

1. Implementing and following IMP’s proprietary compliance project methodologies. 

1. Performing extractions by reviewing client documentation to extract client requirements (rules, manual rules, workflows) from source documentation (IMAs, Prospectuses, SAIs, etc.).  

1. Coding & testing rules in various OMS.  

1. Implementing best practices for asset managers. 

1. In addition, this role will be responsible for assisting with compliance upgrade projects and playing a supporting role in comparisons and reconciliations, specifically: 

• Assisting with data comparison between previous and new versions of the software such as accounts, rules, end-of-day compliance results, security master data, and other relevant compliance related data or functionality. 

• Troubleshooting and identifying key data issues that are impacting compliance rules and functionality. 

• Assisting with key compliance migration efforts and tasks (rule testing, account readiness review, etc.). 

Requirements 

• Minimum 5 years’ industry experience. 

• Bachelor’s degree in finance, business, computer science or equivalent industry experience.  Industry certification or advanced degree a plus. 

• Investment management (buy-side related) compliance experience, preferably as a compliance officer, compliance manager, or implementation specialist for a vendor. 

• Experience working with a commercial OMS or custom system for large asset manager. 

• Project management and business analysis skills preferred. 

• Experienced in creating and executing test plans on projects for rule testing. 

• Strong knowledge of equities, fixed income, derivatives, and the trade order life cycle   

• Solid written and oral communications skills 

• Understanding of compliance and the Investment Company Act of 1940 a plus 

• Working knowledge of relational databases and how to write queries in Oracle or MS SQL Server a plus 

Location 

Greater Lowell Area, MA.  Some travel may be required.        

Benefits: 

• Medical / Dental Insurance 

• 401k, with company match 

• 10 paid holidays, 15 paid vacation days, up to 5 sick days