Senior Systems Compliance Analyst

The Tri-Com Consulting Group
A Full Service IT Employment Consulting Firm is seeking qualified candidates for the following opening:

Senior Systems Compliance Analyst

The position is responsible for reviewing client mandates and ensuring investment guideline coding accurately reflects a client s investment guidelines. The position works closely with Portfolio Management, Trading, Compliance, and Technology teams and leverages the firm s trading and compliance system, Charles River. The position plays a key role in supporting the firm s pre- and post-trade compliance workflows. Successful candidates must meet tight deadlines and be able to manage multiple priorities effectively. The position will have contact with clients, portfolio managers and others within the firm which requires strong management and communication skills.

Your Responsibilities

• Work within a small team to provide daytoday operational support for Charles River Trading & Compliance platform, ensuring high availability and timely issue resolution
• Codes client guidelines on Charles River platform:
• Analyzes IMA s and requests to develop or modify guidelines
• Identifies data required from source systems to implement guidelines on compliance system
• Codifies and tests guidelines utilizing compliance system to develop new rules or through modification of existing rules
• Maintains cross reference to contractual guidelines
• Develops and maintains procedures related to investment guideline codification process
• Provides vendor / platform leadership and serves as a technical escalation point to Charles River for compliance related functionality
• Partners with Charles River product and support teams to evaluate platform releases, manage upgrades, and onboard new functionality

• Assist in rootcause analysis for compliance events and trading issues, including why did this violation occur investigations.
• Assist in control audits to demonstrate adherence to stated policies and procedures related to codification of guidelines

Qualifications

• A bachelor s degree in computer science, finance or accounting is required.

• Five or more years of experience working in the investment industry (CFA or CFA Candidate a plus)
• Experience codifying and monitoring investment guidelines utilizing a trading and compliance system (Charles River preferred)
• Solid understanding of investment accounting systems and an understanding of fixed income and equity data attributes that contribute to rule codification
• Relational database and SQL querying knowledge
• Proven ability to support businesscritical systems in a regulated environment
• Strong problem-solving skills that apply an analytical approach to diagnosing and resolving complex system issues
• Work effectively across business and technology teams

~Tri-Com is an Affirmative Action/Equal Opportunity Employer~

We strongly encourage the applications of women,

minorities, persons with disabilities, and military veterans.

As a condition of employment you will be required to pass a drug screening and other background checks including past employment and confirmation of technical certifications.