Senior Investment Compliance Business Analyst

Position Summary

This position reports to the Implementation Manager, in Investment Compliance.  The Senior Investment Compliance Business Analyst will join a team of compliance professional that provides systems and analytical support to our investment compliance team, as well as other departments within TCW.  Specifically, this individual will be responsible for the developing, implementing, and maintain Aladdin rules that support our investment strategies and risk management processes. You will be required to interpret Investment Management Agreements (IMA), Prospectuses, Statement of Additional Information (SAI) and Fund Declarations guideline documents, and input rules into Aladdin and TCW’s Investment Guideline Repository (TiGR). Additionally, they will support other functions including, but not limited to, Portfolio Management, Securities Trading, Client Services and Marketing professionals in the use of TiGR and Aladdin for online querying and data searches. 

The incumbent will work most closely with rules Implementation professionals to ensure that their documented interpretation of IMA and related guidelines are correctly and consistently stored within Aladdin and TiGR for use by the firm. The incumbent will be a key subject matter expert on guideline rules in Aladdin and TiGR.

Essential Duties

• Review, input, and govern all interpreted governing documents, including but not limited to Investment Management Agreements (IMA), Prospectuses, Statement of Additional Information (SAI), and Fund Declarations into TCW’s Investment Guideline Repository in an accurate and standardized format.
• Develop and implement Aladdin rule to support various compliance workflows.
• Work directly as systems support to Investment Compliance to ensure that supporting. Documentation to an account’s guidelines is stored and accessible on TiGR and the rules coded in Aladdin.
• Quality checks and simulation testing for validation of rules and their output.
• Testing and auditing of compliance rules and creation of new processes utilizing technology to improve efficiencies.
• Rule optimization and/or updating rules in line with system enhancements.
• Standardizing rule coding through universal rules and rule libraries.
• Coordination and execution of manual compliance testing.
• Identifying and remediating coding issues.
• Creation and maintenance of restricted lists.
• Maintain accuracy and implement highest standards and controls for TCW’s Investment Compliance Guideline gold source data repository.
• Support cross-disciplinary review and implementation of new and modified guidelines into Aladdin and TCW’s Investment Guideline Repository (TiGR).
• Work with Portfolio Management, Trading, Client Service, Data Management, Legal, Compliance and others within Investment Compliance to resolve any associated guideline-related compliance issues.
• Undertake special compliance technology related projects as assigned.
• Stay current on applicable legal rules and legislation, specifically the Investment Company Act of 1940, FINRA, Investment Advisers Act and the Securities Act and Non-US Based Fund and Regulatory Requirements.

Required Qualifications

• Bachelor’s degree in finance, Computer Science, or related field with 5 years of relevant work experience.
• Strong knowledge of Investment Guidelines.
• Proficiency in rule coding in the BlackRock Aladdin compliance system a must.
• Capability and willingness to understand and retain, to a high level of detail, the nuances and background behind client directives on guidelines that govern the investment decision making process.
• Working knowledge and understanding of capital markets; experience with fixed income, equity, and derivative instruments.
• Strong Proficiency in programming languages such as SQL, Java, or Python.
• Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and other US focused and non-US focused regulatory requirements preferred.
• Proficiency in Bloomberg and other major investment management software applications.

Professional Skills Qualifications

• A self-starter who takes initiatives and works independently, a strong team player.
• Strong analytical skills with excellent attention to detail.
• Excellent verbal and written communications skills.
• Excellent organizational skills and the ability to prioritize multiple requests from a variety of sources.

Desired Qualifications

Estimated Compensation:

Base Salary: For NY & CA based position, the base salary range is $150K-$170K. This is an anticipated range and represents base salary only.

Other Compensation: Eligible to be considered for an annual discretionary bonus.

Benefits: Eligible for TCW’s comprehensive benefits package.

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Salary : $150,000 - $170,000