Compliance Analyst

Job Description

JOB DESCRIPTION:
The Compliance Analyst is primarily responsible for implementing and monitoring the contractual and regulatory requirements of the various lender programs as they relate to securities lending and short-term investment management activities. This role assists with various compliance testing and requires attention to detail. The Compliance Analyst is a primary liaison internally for compliance-related inquiries.

JOB RESPONSIBILITIES:
Updates pre-trade compliance system for securities lending and short-term investment management programs as required following established internal Program Change protocols.
Daily monitoring and reporting of Lenders contractual and regulatory securities lending parameters.
Confirm daily that short-term investments are in compliance with client investment guidelines.
Review of cash and non-cash collateral to confirm there is sufficient collateral.
Daily compliance review of discretionary securities lending activity.
Escalate non-compliant situations internally for appropriate escalation.
Follow-up and assist with the resolution of non-compliant situations to ensure that appropriate corrective action is taken.
Maintain and distribute a Monthly Compliance reporting.
Partner with the Client Relations team on annual comprehensive review of Lender programs.
Assist with business improvements and automation projects as needed.
Assist with compliance monitoring required by the Financial Conduct Authority (FCA)

QUALIFICATIONS:

At least two years of experience developing and/or testing compliance programs for clients in the financial services industry a plus. Candidates must be detail-oriented, have excellent oral and written communication skills, be capable of managing multiple projects simultaneously, work well under tight deadlines, possess good problem-solving skills, take a proactive approach to their personal development and be open to feedback. Candidates should have previous experience and/or proficiency in financial markets. Advanced Excel skills and prior use of Bloomberg a plus.

eSecLending is an equal opportunity employer.

Please submit resumes with a cover letter, including salary requirements, to:

[email protected].

Please, no agencies.