Compliance Analyst

Job Summary

The Compliance Analyst provides a significant level of support (e.g., research, recommendations, analysis, etc.) for the Portfolio Managers (PMs) and Investments Director. He/She researches and analyzes data to support the senior Investments staff in making critical investment, portfolio management, and strategic planning decisions. This position researches and analyzes information for specific asset classes (e.g., equity, fixed income, real estate, etc.) in support of due diligence activities and provides recommendations (e.g., investment strategies, managers, tools, etc.) to senior Investments staff. He/She may supervise analysts.

The Compliance Analyst reviews and analyzes portfolio performance reports for specific asset classes to highlight areas of over- and under-performance and to identify areas requiring in-depth analysis. He/She provides support for monitoring investment performance with established metrics (e.g., benchmarks, expected risks and returns, strategies, etc.) to ensure investments perform as expected, enable timely corrective action, and minimize negative exposure. This position develops analytical tools based on research to support the evaluation and implementation of recommendations.  He/She also provides support for the review of financial statements and performance reports to ensure there are no material weaknesses in external investment manager controls.

­Other Duties

• Implements reporting schedules to satisfy individual asset class reporting obligations in a timely manner.
• Reviews and analyzes portfolio performance reports for specific asset classes to highlight areas of over- and under-performance and to identify areas requiring in-depth analysis.
• Performs follow-up analysis to provide adequate explanations for areas of over- and under-performance.
• Provides support for the review of financial statements and performance reports and reports findings to PMs to ensure no material weaknesses in external investment manager controls and reports and to monitor the financial position of investments.
• Provides support for monitoring investment performance with established metrics (e.g., benchmarks, expected risks and returns, strategies, etc.) to ensure investments perform as expected, enable timely corrective action, and minimize negative exposure.
• Performs research and analysis on investment strategies to provide senior Investments staff with a current view of the investment universe.
• Collaborates with the PMs to identify key characteristics by asset class and to develop screening tools for efficient and effective evaluation of investment opportunities.
• Collaborates with the Investment Analyst to conduct specific asset class research (e.g., portfolio construction, performance, risk exposure, etc.), evaluate alternative approaches, identify improvement areas, and develop documented recommendations.
• Develops analytical tools based on research to support the evaluation and implementation of recommendations.
• Maintains a dialogue with industry participants to develop insights into existing investment managers, cultivate new external investment manager relationships, and identify best practices.

Preferred Competencies

• Conducts Research: Designs standard research studies (i.e., descriptive) that collect information on the immediate business problem and related problems; identifies appropriate research methodology to use during research; develops standard research tools and materials designed to gather data (e.g., interviews, focus groups, etc.); integrates, interprets, and summarizes information from various sources; identifies relationships within the data; draws conclusions based on multiple, relevant data sources.
• Detail Orientation: Distinguishes between “big picture” concepts and comments and specialized, smaller specific facts associated with work; notes the specifics of events and experiences; explains, in general, how details impact end goals or outcomes; ensures that work is completed accurately and with the appropriate level of detail.
• Estimation and Forecasting Knowledge: Specifies facts, research, and perspectives necessary to make projections; analyzes statistics and qualitative information within specified parameters; researches trends and conditions used to make projections.
• Legal, Regulatory, and Compliance Knowledge: Applies knowledge of agency functions and regulations to compliance and enforcement activities; identifies routine situations where the organization may be out of compliance as well as the specific impacts of non-compliance.
• Report Generation: Addresses and resolves issues impacting information systems reporting; looks for ways to minimize report generation and required storage; modifies existing report formats; creates and interprets customized reports; integrates data, information, and documents from multiple software programs; writes more complex report queries.
• Solicits and Gathers Information: Demonstrates a working knowledge of techniques for soliciting and gathering information; identifies appropriate sources of information.

Minimum Qualifiers

• Bachelor's Degree – Accounting, Finance, or Economics – Preferred
• Master's Degree – Preferred
• Fundamental knowledge of capital markets – Preferred
• Knowledge of fair value measurement (ASC 820) and reporting requirements – Preferred
• Financial Risk Manager (FRM) Certification – Preferred
• Chartered Financial Analyst (CFA) Certification – Preferred