CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Position Description Are you strong in solving nonstandard cases? Do you have a unique eye to catch the details? We are looking for someone like that for our team. Operational Role The purpose of Investment Compliance Analyst role is to ensure that shareholders assets managed by the Fund are invested in line with restrictions coming from the Law and Fund's legal documents such as Prospectus. Main responsibility of Compliance Analyst is to perform accurate analysis of alerts detected by a system and report any violation of rules to donor site to protect investor's best interest. On a daily basis, Investment Compliance Analyst will use his analytical skills and understanding of financial instruments to solve various cases related to investment decisions made by managers of the Funds.
Implementation Role The purpose of Investment Compliance Analyst Implementation role is to review and implement compliance restrictions on funds related to Regulatory and Investment Manager (IM) mandates utilizing compliance platform. This will include coding and updating automated tests in the system. On a daily basis, Investment Compliance Analyst will use his analytical skills and understanding of financial instruments to solve various cases related to investment decisions made by managers of the Funds
Primary Responsibilities Operational Role
Monitor activity of the Investment Managers in terms of regulations of Funds Industry using dedicated Investment Monitoring Platform,
Ensure that market data and accounting information appearing in the system are correct and accurate,
Analyze alerts flagged by the system by investigating accounting and custody records, researching market data platforms, reviewing legal documents and searching financial web-sites,
Create comments and conclusions based on the analyses and report violations to the clients,
Perform updates of missing information in the system,
Create reports for clients and auditors,
Point of expertise for complex breach analysis
Assists Team Supervisor in implementing new procedures and controls
Involvement in departmental ad-hoc projects
Involvement in the training and development of other team members as necessary
Import new funds into the system.
Associate particular funds to their corresponding rules according to the documentation.
Check compliance of prospectus and investment guidelines.
Identify regulatory restrictions and perform their set-up in the Investment Monitoring Platform Resolve arisen issues, like lack of data or misinterpretation restrictions.
Work directly with other teams within the company in order to determine best approach or to obtain clarification.
Ensure deliverables are completed in a timely manner and follow-up with internal groups where necessary.
Assist manager with designated compliance projects and assignments and act as coordinator where required.
Ensure detailed documentation is maintained for audit purposes.
Participate in both short and long term projects, like setting up new clients in system.
Assist in the improvement of the rule coding, identify errors in the software and propose modifications.
Provide technical support to compliance teams in relation to the compliance platform
What we would expect from you:
Excellent analytical skills,
Orientation to details,
Ability to search for information and draw conclusions,
Flexible attitude and capability to work with deadlines
Self-motivated and self-reliant.
Good understanding of financial instruments and markets,
Experience in using Microsoft Excel functions is essential,
Intermediate German is necessary.
Very good understanding of investment compliance processes
Takes Ownership and Initiative
What can you expect from us:
We are diverse team and we welcome (preferably but not only) graduates of economics, business, law, finance & accounting, science and language degrees
We value team work and continuous learning and development
We support each other and learn from each other
We strive for excellence in everything we do
We never stop to change
If this speaks to you - come and join us in Investment Compliance!