Vendor Technology Finance Sales Associate
Huntington National Bank
Analyst, Investment Compliance Services, Regulatory Reporting
T. Rowe Price
full-time
Posted on:
Location Type: Hybrid
Location: Baltimore • Colorado, Maryland • 🇺🇸 United States
Visit company websiteSalary
💰 $68,000 - $116,000 per year
Job Level
JuniorMid-Level
About the role
- Communicate effectively through direct interaction with Trading, Investment, Client and Legal associates, demonstrating a strong understanding of global compliance requirements, investment strategies and derivative usage
- Analyze pre-trade, post-trade and batch compliance alerts in CRD to assess permissibility
- Liaises with trading, legal, client operations and/or investment personnel by assisting with interpretation of guidelines and communications to clients
- Conduct test trades for deals, corporate actions and in-kind transitions and reviews results to ensure compliance with all account restrictions
- Oversee and manage manual processes items not coded into CRD
- Proactively identifies and escalates potential compliance violations to management and if necessary, participates in the violation resolution process
- Actively participates in the Global Client Investment Reporting (GCIR) process
- Continuously seeks opportunities to enhance efficiency; actively identifies process improvement opportunities
- Champions risk reduction; works to reduce risk by looking for opportunities to make the compliance monitoring process more accurate, concise, and efficient
- Drives automation and innovation; recommends and implements solutions to automate manual rules, integrate new compliance functionality and leverage data as a result of system upgrades
- Fosters knowledge sharing and collaboration; develops deep expertise in the Charles River system, and proactively shares knowledge to significantly increase depth of knowledge within the Monitoring team
- Challenges the status quo; critically evaluates existing policies and procedures, and practices and proposes innovative solutions to enhance effectiveness and address emerging challenges
- Actively monitors compliance alerts to identify trends and areas for improvement in the rule library ensuring it remains relevant and effective
- Actively participates in medium-sized projects of moderate complexity to achieve project goals and deliver impactful outcomes
- Evaluates the implications of regulatory changes, new investment strategies, products and derivative instruments on compliance processes and contributes to the development of impactful solutions
- Develops user-friendly documentation, procedures and process controls to ensure clarity, consistency and transparency
Requirements
- Bachelor's degree or the equivalent combination of education and relevant experience
- 2+ years of total relevant work experience
- Practical understanding of investment security types (e.g. stocks, bonds, derivatives)
- Experience with Trading/IBOR/OMS systems, specifically with knowledge of Charles River Compliance System (CRD) or comparable compliance platform such as Aladdin or Bloomberg
- Proven analytical skills within the area of investment compliance or a related field
- Strong attention to detail; commitment to quality
- Strong customer service orientation
- Strong interpersonal skills; effective written and oral communications
- Ability to adapt and thrive in a dynamic environment with evolving priorities
- Strong organizational skills; proficient in handling multiple tasks simultaneously
- Strong research and problem-solving skills
Benefits
- Competitive compensation
- Annual bonus eligibility
- A generous retirement plan
- Hybrid work schedule
- Health and wellness benefits, including online therapy
- Paid time off for vacation, illness, medical appointments, and volunteering days
- Family care resources, including fertility and adoption benefits
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
investment complianceanalytical skillsprocess improvementrisk reductionautomationdocumentationinvestment security typescompliance monitoringderivative instrumentsproject management
Soft skills
attention to detailcustomer service orientationinterpersonal skillswritten communicationoral communicationadaptabilityorganizational skillsproblem-solving skillscollaborationcritical evaluation
