Job duties
- Daily monitoring of funds and accounts to ensure that their investment policies, guidelines and restrictions are followed
- Identify research and escalate potential compliance violations and trade oversight cases directly
- Recommend alternatives for resolution and follow up with portfolio managers, traders and others where appropriate
- Supporting the SFC application process, and working with other departments to ensure timely and quality submission of regulatory required periodic reports, and supporting the management team
- Responsible for educating employees regarding regulatory requirements
- Assisting with the maintenance of policies and procedures
- Prepare, review and analyse various routine and ad hoc reports.
- Charles River experience is a must
- 8 years+ of experience in financial services environment
- Strong analytical and problem-solving abilities and attention to detail
- Strong oral and written communication and presentation skills
- A team player with good interpersonal skills, assertiveness and ability to work independently
- Strong Microsoft Office knowledge, including Excel and Microsoft Access