Guideline Portfolio 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 i) 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;

• Be self-confident, a self-starter, results driven, energetic, have an inquisitive mind, and be controls conscious;

• Have strong organizational skills, an ability to manage assignments with competing priorities, excellent communication skills, and the ability to work both independently and as a member of a team;

• Have strong attention to detail and computer literacy (knowledge of Word, Excel, and similar tools).

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

5. Any Sentinel experience is ideal

6. Needs to have very strong communication skills as their counterparts with be PA's etc.

7. Strong Excel preferred.....

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

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

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