What are the responsibilities and job description for the Sr Analyst, Investment Compliance position at PanAgora Asset Management?
SUMMARY
The Senior Analyst, Investment Compliance, is responsible for supporting the firm's investment compliance program. This includes reviewing client investment guidelines and investment management agreements, coding compliance rules for client accounts into the investment compliance system, and monitoring pre- and post-trade alerts. The Senior Analyst will also work with other departments, such as legal, finance, portfolio management, trading and operations, to ensure that the firm adheres to all client and regulatory guidelines.
Primary Duties and Responsibilities
- Review client investment management agreements
- Code new accounts into the compliance management system
- Monitor pre- and post-trade compliance alerts
- Develop and maintain strategic relationships with multiple teams within PanAgora; Client Service, Portfolio Management, Trading, Legal, etc.
- Work with departments to ensure compliance with all applicable laws and regulations
Essential Skills
- Bachelor's degree in a related field, such as finance, law, or accounting
- Experience in Enfusion Compliance System a plus
- 5 years of experience in investment compliance, with a focus on the financial services industry
- Strong understanding of regulatory requirements, such as those of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC)
- SQL and Java knowledge a plus
- Strong analytical and problem-solving skills
- Excellent written and oral communication skills
- Ability to work independently and as part of a team
- Ability to manage multiple projects simultaneously
- Ability to work under pressure and meet deadlines