Portfolio Compliance Analyst
back bay staffing groupPortland (ME)
About the role
Portfolio Compliance AnalystA Portfolio Compliance Analyst is needed to oversee and monitor Fund post-trade compliance with prospectus and other portfolio requirements. The Portfolio Compliance Analyst will identify and set-up monitoring rules, oversee or effect data imports and research breeches. Escalate compliance violations to internal and external parties. Produce and deliver periodic portfolio compliance reports. Ensure deliverables are prepared timely, accurately and in compliance with department and Fund policies and procedures, as applicable. Escalate compliance issues to their manager and assist with resolution. Support ongoing efforts to enhance processes. Other duties as assigned by their manager. Summary of Essential Job Functions: Identify, monitor and report on post-trade portfolio compliance to internal and external parties Research and propose resolutions for compliance issues Oversee maintenance of system parameters and data feeds/inputs Develop practical understanding of applicable regulations Set priorities, meet deadlines and handle multiple projects in fast-paced environment Communicate effectively with clients, vendors and coworkers
Minimum Requirements:
- Mutual fund or securities industry experience preferred
- Working knowledge of security instruments including stocks, bonds and derivatives preferred
- Proven organizational skills, ability to multitask, time manage
- Advanced knowledge of Microsoft Excel
Education Requirements: Bachelors degree in accounting, finance or related.
Before you apply
Applying takes about a minute. These four things decide how fast it moves after that.
Your profile is current
It's what we read first. Occupations, seniority and locations matter more than a long history.
Two examples you can talk through
Not a portfolio — just two pieces of work where you can explain the decisions and what you'd change.
A number in mind
What you're on now and what would make you move. We negotiate better when we know both.
Your notice period
Employers plan around it, and it's the question that stalls offers most often.
Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.
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