Jr. Guideline Monitoring Analyst at KBW Financial

Top tier Investment Management firm is looking for a Jr, Guideline Portfolio Analyst who is passionate about the Investment world. If you are a recent College Graduate or a candidate with 1-2 years of experience with a background and interest in Investments, Compliance and Portfolio Management, you should apply for this role. 

Responsibilities:

• The Analyst will focus on providing support to investment teams, to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements;

• The Analyst will be part of the team that reviews investment management agreements, evaluates client guidelines, and maintains the guideline monitoring system, performs real-time, pre-trade support with investors, and iii) resolves post-trade incident exceptions generated from Sentinel;

• The Analyst will work collaboratively with other Guideline Monitoring Analysts, as well as other internal teams, specifically our Global Relationship Teams, Product Management and Portfolio Management, to develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements

• Demonstrate a strong working knowledge of all investment types, including equity and fixed income products, and derivative instruments;

• Prior experience monitoring investment guidelines, working in an investment compliance role, understanding regulatory requirements for 40 Act and UCITs funds, and coding investment restrictions into a vendor or proprietary compliance monitoring system, specifically Sentinel, would be advantageous;

Qualifications:

1. Bachelors Degree required

2. 0-3 years experience preferred

3. Investment Management experience required - experience with equity, fixed income, derivatives etc.

4. Compliance experience preferred, such as exposure and knowledge of the 40Act and UCIT Funds

Hourly Rate $25-$40 per hour dependent on experience
Hours are 830-5pm
Hybrid

All interested candidates send a resume to wcochran@kbwfinancial.com

#LI-JS1
KBW789
*MONKBW*