Compliance Business Analyst

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Key Responsibilities:

Monitor compliance with investment restrictions stipulated by a variety of sources including but not limited to the client Internal Policies, fund documentation, client account guidelines, and regulatory requirements. Routine audits will also be performed to ensure the integrity of electronic archives, analyst assignments, as well as various forms of information retention.
Different forms of data maintenance specific to account status tracking, correspondence filing as well as involvement in the administration of the departmentâ€™s virtual information repository.
Analyst to have good understanding of complex securities, fixed income, and equity products. The role would also require the analyst to possess good communication skills.
Exhibit knowledge of various aspects of financial markets especially with regards to asset classes, trading fundamentals etc. along with behavioral dexterity to manage professional rapport while working with various teams.
Pre/ Post trade compliance analysis

Role Proficiencies:

Experience with Financial services Industry, Mutual fund, Stock broking (preferably in portfolio/investment compliance)
Good in Excel and handling different application (Macro/ Access knowledge will be added advantage)
Knowledge of Charles River Application - preferable
Knowledge of derivatives and trade flows â€“ Mandatory
Knowledge of Canadian/US regulations â€“ BISSETT, 1940 act â€“ preferable.

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