Senior Analyst, Portfolio Compliance

• Using Charles River to create and monitor pre-trade and post-trade compliance rules across all asset classes and security types. These compliance rules are derived from client mandates, global regulations, industry best practices, and firm wide guidelines.  


• Using FundApps to monitor and report beneficial ownership, short selling, and takeover panel disclosures.  


• Preparing compliance certificates and compliance reports either internally for managers or externally for clients and regulators. 


• Working with various business groups within the company (portfolio management, operations, legal). You will be answering their compliance related questions and helping resolving issues. 


• Maintaining and continuously improving portfolio compliance related procedures and controls. 


• Taking a lead role in projects that vary in scope and size.  


• Although this is not a people management role, you will be providing guidance, instruction, and direction to compliance analysts on the team. 

• A Passion for Compliance – You have five years or more experience in Asset Management performing a compliance related function.  


• Risk Intelligent Mindset – You have a solid understanding of portfolio compliance and its role within a broader risk management framework. 


• A Passion for Operational Excellence – You display a professional attitude where attention to detail, accuracy and timeliness are critical success factors in achieving your goals and objectives. 


• Critical Thinking – You possess an analytical mindset and like to solve problems.  


• Curiosity – You are inquisitive and are not afraid to ask questions. 


• Collaborative Communication – You communicate effectively and have a collaborative sprit that helps you to work well with others.  


• Project Management – You have strong project management skills.  


• Organization - You are organized and can manage multiple tasks and interruptions. 


• Technology Savvy – You are able to pick up new systems and tools quickly. You have advanced computer skills with an emphasis on MS Excel. Charles River experience is an asset. 

For a closer look at how you can build your career with us, we invite you to explore cclgroup.com.  

CC&L Financial Group is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to gender, ethnicity, religion, sexual orientation or expression, disability, or age.  

Your application will be reviewed by a member of the hiring team - AI is not used in the screening, assessment or selection of applications at this time.