Job Title: Investment Compliance Analyst
Reports To: Fiduciary Compliance Investment Officer
Department: Investment Compliance
Pay Range: Starting at $63,252.80
FLSA Status: Exempt
Number of Openings: 1
Accepting Applications: 3/14/13 - 4/15/13
SUMMARY: This position assists in developing, implementing and operating systems-based investment compliance functions. They will assist in developing systems-based compliance processes by identifying, assessing, managing and reporting on internal and external investment managers’ adherence to policies and guidelines.
1. Assists in developing investment compliance processes to identify, assess and report exceptions to policies and guidelines.
2. Assists in developing testable guidelines for internally and externally managed portfolios.
3. Programs compliance rules in the Bloomberg Compliance System and acts as backup in its daily operations.
4. Assists in analyzing Bloomberg Compliance System reports to determine if they identify valid exceptions or false positives. Researches and helps resolve issues as required.
5. Assists in managing a web-based reporting portal for external investment managers.
6. Assists in managing a web-based reporting portal used in administering OPERS’ Personal Trading and Material Non-public Information Policies.
7. Assists in preparing, and prepares, periodic written and oral reports of compliance issues for management.
8. Implements and utilizes compliance testing tools and capabilities. Recommends improvements and implements approved solutions.
9. Other duties may be assigned.
KNOWLEDGE, SKILLS, AND ABILITIES TO PERFORM ESSENTIAL FUNCTIONS*
- Strong computer proficiency - Required
- Ability to program computers - Required
- Basic understanding of investments - Required
- Basic understanding of compliance principles - Required
- Strong analytical skills - Required
- High school diploma or GED - Required
- Bachelors in related field - Required
- Advanced degree in Finance or Accounting - Preferred
- Minimum of 1 year experience in capital markets, investment management, or financial services - Required
- Working understanding of investments including operations, securities trading procedures, and benchmark indices - Required
- Understanding of Bloomberg Compliance System - Preferred
- Understanding of Eagle Accounting System - Preferred
- Strong computer literacy - Required
- Understanding of computer programming principles a plus
Physical Requirements* (if applicable)
- Reasonable accommodations may be made to enable individuals with disability to perform the essential functions.
DISCLAIMER: The above statements are not intended to be construed as an exhaustive list of all duties, skills and responsibilities required.
OPERS - 11 months ago