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Compliance Analyst - Asset Management
Responsibilities Monitor??Client Guidelines and Restrictions: The Guidelines and Restrictions Compliance Analyst interacts with the Trading, Investment Operations, Technology, Investment and Client Services teams on a regular basis to ensure client portfolios are managed in accordance with contractual and regulatory requirements. Specific responsibilities include: ??? Thoroughly and thoughtfully review??and implement??client guidelines and restrictions and collaborating with teammates on the basis for the resulting automated rules or manual reviews; ??? Research??potential pre-trade and post-trade guideline breaches swiftly and escalate??issues, concerns, results, and recommended actions as needed; ??? Consistently and successfully monitor??auto


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