Trade Compliance Associate

Our client is seeking a Trade Compliance Associate to join its Compliance team. This role offers the opportunity to work in a collaborative environment, ensuring trading activities comply with complex regulatory frameworks across asset classes and jurisdictions. You will partner with trading, operations, and compliance teams while developing expertise through continuous learning and teamwork.

Key Responsibilities:
In the capacity of Trade Compliance Associate, you will be immersed in an environment where your ability to manage multifaceted compliance exception alerts is integral to maintaining the probity of trading activities. Your daily undertakings will encompass providing expert counsel on investments traversing diverse asset classes and jurisdictions whilst remaining abreast of global regulatory changes. You will interpret complex guidelines for integration into systems supporting numerous funds, maintain critical lists about restricted securities, administer sensitive wall-crossing processes, and support significant projects such as audits or system upgrades. Success in this role necessitates not only technical proficiency but also refined interpersonal skills; you will collaborate extensively with colleagues from various departments to ensure that compliance remains a collective priority. Your contributions will help establish robust processes that safeguard both the firm's reputation and its clients' interests.

• Oversee and resolve order management system (OMS) compliance exception alerts, both pre- and post-trade, by liaising effectively with the trading team to ensure unwavering regulatory adherence.
• Provide comprehensive compliance oversight and guidance on both new and existing investments by addressing trade-related queries spanning multiple asset classes and global jurisdictions.
• Monitor evolving regulatory developments worldwide, assess their implications for business practices, and update internal compliance policies and procedures as necessary to uphold exemplary standards.
• Interpret intricate investment guidelines as well as regulatory requirements for seamless integration into the OMS across various funds and investment strategies.
• Maintain precise restricted securities and issuer lists while ensuring their effective incorporation into daily investment workflows for optimal operational efficiency.
• Administer wall-crossing processes by diligently tracking restricted individuals and managing material non-public information (MNPI) appropriately to safeguard sensitive data.
• Support ad-hoc compliance initiatives such as audits, regulatory reviews, or system enhancements by collaborating with cross-functional teams to deliver timely outcomes.
• Work closely with colleagues from trading, operations, and compliance to cultivate a culture of shared responsibility for regulatory compliance throughout the organization.
• Contribute meaningfully to process improvements by identifying opportunities for enhanced accuracy or efficiency within compliance workflows.
• Communicate clearly with stakeholders at all levels regarding compliance matters to foster understanding and alignment across the firm.

Key Requirements:
To excel as a Trade Compliance Associate at this distinguished investment firm, you will possess proven experience in investment compliance acquired over several years within financial services or asset management contexts. Your technical expertise encompasses advanced utilization of Excel and Word for analyzing data sets or preparing documentation; additional proficiency in SQL would further augment your capabilities. Familiarity with industry-standard order management systems equips you to manage intricate workflows efficiently. Beyond technical competencies, your success is predicated upon meticulous attention to detail-enabling swift identification of inconsistencies-and an analytical disposition that drives thorough problem-solving. Your sound judgement assists you in navigating competing priorities calmly whilst communicating effectively with colleagues from trading, operations, or compliance teams. You are adept at interpreting multifaceted regulations for integration into operational systems supporting diverse investment strategies. Adaptability is paramount: you flourish when responding constructively to evolving demands or urgent matters. Above all else, your commitment to ethical behavior engenders trust within the organization; your willingness to engage in special projects reflects a proactive attitude towards personal advancement.

• A minimum of two to five years' demonstrable experience in investment compliance within financial services or asset management environments is required for success in this role.
• Proficiency in utilizing Excel and Word for data analysis and documentation is essential; familiarity with SQL would be advantageous when addressing more complex tasks.
• Experience working with order management systems such as Charles River or FlexTrade FlexOne-or comparable OMS/OEMS platforms-is highly desirable for efficient workflow management.
• Exceptional attention to detail, coupled with an analytical approach, enables you to identify discrepancies promptly whilst maintaining rigorous standards of accuracy.
• Sound judgement complemented by strong communication skills empowers you to prioritize tasks under pressure whilst collaborating effectively across teams.
• Ability to interpret complex regulatory requirements and investment guidelines ensures seamless integration into operational systems supporting varied strategies.
• Comfort operating across multiple asset classes-including equities, fixed income, and derivatives-and navigating global regulations enhances your versatility within the team.
• Adaptability within demanding environments enables you to respond constructively to shifting priorities or urgent requests without compromising quality.
• Commitment to ethical conduct underpins every aspect of your work, fostering trust among colleagues and stakeholders alike.
• Willingness to participate in ad-hoc projects such as audits or system enhancements demonstrates your proactive approach towards continuous improvement.

What sets this company apart:

• This organization distinguishes itself through its enduring reputation for delivering superior risk-adjusted returns via proprietary value-based investment strategies developed over more than thirty years.

What's next:
If interested in this position, please contact Ryan Green at 332-205-3881 and Ryan.Green@robertwalters.com