Overview
The Guideline Monitoring Analyst will share responsibilities in both Guideline Monitoring and Client Order Management. Day-to-day responsibilities will include ensuring client cash flows are properly received, booked, and matched within the firm’s order management system and batch compliance monitoring of alerts generated within Charles River.
Responsibilities
- Carry out all tasks as necessary to ensure the accurate and timely execution of client orders.
- Work alongside Client Strategy to engage and maintain excellent client relationships and promote a client-centric solution/culture.
- Investigate why a compliance alert is generated using proficient knowledge of investment guidelines, regulatory requirements, compliance systems, internal policies, and available data to provide independent, accurate, and timely decisions to investment and trading personnel.
- Analyze “batch compliance” – alerts which are generated once per day and reviewed each morning.
- Identify all potential breaches to rules, internal restrictions, regulatory guidelines, and related cash breaks. Respond quickly and escalate issues to necessary parties.
- Partner with Client Implementation and Investment Teams for both investment flow activity and compliance related issues and questions from clients and internal colleagues.
- Develop procedures, processes, reporting, and systems to support these requirements.
Qualifications
- Bachelor’s degree in applicable business-related field.
- Strong relationship building skills and flexibility to work across multiple teams, both locally and globally.
- Experience with monitoring, coding, data integration, and/or client service is preferred.
- Awareness/Familiarity with fixed income, equity, derivative securities, and client trading process.
- Knowledge and understanding of Investment Advisers Act of 1940, the Securities Exchange Act of 1934, CFTC, ERISA, and global regulations is preferred.
- Organized and structured approach, strong attention to detail, ability to multi-task, risk-based approach to problem solving and overcoming challenges.
- Skillful comprehension of Microsoft Excel and data analysis (v-lookup, pivot tables).
Salary Range
$62,000 to $70,000
The starting salary offer will vary based on multiple factors, including but not limited to the applicant’s education, job-related experience, skills, and abilities, geographic location, and market factors. This position is also eligible to participate in the company’s annual discretionary bonus plan. Full time employees may be eligible for health insurance with an optional HSA, short term disability, long term disability, dental insurance, vision care, life insurance, Healthcare, Dependent and Limited Care Flexible Spending Accounts, 401K, vacation, sick time, an employee assistance program, and commuter and transit programs. Additional voluntary programs include: supplemental health benefits including accidental injury, critical illness and hospital indemnity insurance and pet insurance.
EOE Statement
As an EOE employer, Legal & General Investment Management America will extend equal opportunity to all employees and applicants for employment without regard to race, color, religion, gender, sexual orientation, gender identity, ancestry, national origin, age, disability, medical condition, genetic information, marital status, pregnancy, military status, and/or any other characteristic protected under applicable federal, state or local laws governing nondiscrimination in employment. (2024)
