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Analyst
(Jobs in Merrimack, NH)
 
Requirement id 96674
Job title Analyst
Job location in MERRIMACK, NH
Skills required Microsoft Office Integration, PC Skills, Written And Oral Communication Skills,
Open Date 20-Aug-2019
Close Date
Job type Contract to Hire
Duration 4 Months
Compensation DOE
Status requirement ---
Job interview type Face to Face interview
   Email Recruiter: coolsoft
Job Description Analyst: Microsoft Office Integration, PC Skills, Written And Oral Communication Skills,

Note:

We should take signed RTR form from the candidate (Candidate RTR form should be only on the name of Apex Systems)


Position Description:

The Intake Team is responsible for establishing and maintaining client, regulatory, prospectus, Board-approved, and internal limitations within the Compliance rules-based system to facilitate monitoring and client reporting. This sets the foundation for quickly preventing and detecting potential violations. The team interacts closely with AMC Compliance Monitoring, Product Management, Portfolio Management Services, Account Executives and Legal during contract negotiations and other pre/post launch activities. The Team also manages various aspects of the client reporting process. The team is responsible for portfolios that encompass a broad range of account types managed by Fidelity and its affiliates across multiple regulatory jurisdictions. To ensure Fidelitys reputation for excellence is maintained, the individual must apply high ethical values and quality assurance standards. AMC is currently in the early stages of a multi-year project to convert compliance rule to the ICE system.

The Compliance Analyst is responsible for all pre and post launch activities associated with the launch of new accounts, as well as the on-going management of limits to ensure accurate testing and adherence to applicable limits. This individual interprets all client, regulatory, prospectus, Board and internal limits, which are translated into rules within the Compliance Engine.

Primary Responsibilities

Account Intake and Client Reporting

Participate in guideline negotiation and new product launch meetings, provide Compliances viewpoint and input on testing capabilities and/or challenges to achieve best the outcome
Review and interpret account documentation and establish all compliance rules and client restrictions
Using product and industry knowledge, identify compliance challenges with certain investments, fund structures, etc.
Support account conversions, transitions and terminations
Prepare, review and distribute monthly and quarterly client certifications

Risk Mitigation

Maintain the integrity of the Compliance rules-based system for all portfolios, and ensure updates are accurate and changes are timely. Analyze rule results to determine reasonability, accuracy, and completeness levels.
Suggest ways to enhance rules using new or existing data or methods.
Follow written policies and procedures, and best practices

Other

Build and maintain effective working relationships with business partners to facilitate the receipt and dissemination of information necessary for accurate completion of responsibilities.
Participate in and contribute to department-wide initiatives in support of individual, team and department goals.

Education and Experience

Bachelors degree in finance, accounting, or economics or relevant job experience preferred
5-7 years experience in a financial services environment preferably in the area of compliance or investment operations

Skills and Knowledge

Strong organizational skills with proven ability to multi-task and manage high volumes
Demonstrated strong analytical skills, problem-solving abilities and attention to detail
General understanding of 1940 Act Compliance, UCITS, and NI 81-102
Solid understanding of securities markets, different investment types and knowledge of derivatives a plus
Track record of strong relationships with demanding clients and senior personnel
Flexibility to accept and embrace change
Good oral and written communication and presentation skills
A team player with good interpersonal skills and the ability to work collaboratively across function
 
Call 502-379-4456 Ext 100 for more details. Please provide Requirement id: 96674 while calling.
 
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(Analyst: Microsoft Office Integration, PC Skills, Written And Oral Communication Skills, in MERRIMACK, NH)
     
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