KBW Financial Staffing & Recruiting ยท 10 hours ago
Portfolio Guideline Monitoring Analyst
Boston, MA
Full-time
Hybrid
New Grad, Entry Level
$25/hr - $40/hr
0+ years expKBW Financial Staffing & Recruiting is a top tier Investment Management firm seeking a Junior Guideline Portfolio Analyst who is passionate about the investment world. The role involves supporting investment teams to ensure compliance with client guidelines and regulatory requirements while collaborating with various internal teams to understand investment strategies.
CrowdfundingFinancial ServicesHuman Resources
Responsibilities
The Analyst will focus on providing support to investment teams, to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements
The Analyst will be part of the team that i) Reviews Investment Management Agreements, evaluates client guidelines, and maintains the guideline monitoring system, performs real-time, pre-trade support with investors, and iii) resolves post-trade incident exceptions generated from Sentinel
The Analyst will work collaboratively with other Guideline Monitoring Analysts, as well as other internal teams, specifically our Global Relationship Teams, Product Management and Portfolio Management, to develop a deep understanding of investment strategies relative to client guidelines and regulatory requirements
Demonstrate a strong working knowledge of all investment types, including equity and fixed income products, and derivative instruments
Prior experience monitoring investment guidelines, working in an investment compliance role, understanding regulatory requirements for 40 Act and UCITs funds, and coding investment restrictions into a vendor or proprietary compliance monitoring system, specifically Sentinel, would be advantageous
Be self-confident, a self-starter, results driven, energetic, have an inquisitive mind, and be controls conscious
Have strong organizational skills, an ability to manage assignments with competing priorities, excellent communication skills, and the ability to work both independently and as a member of a team
Have strong attention to detail and computer literacy (knowledge of Word, Excel, and similar tools)
Qualification
Required
Bachelors Degree required
Investment Management experience required - experience with equity, fixed income, derivatives etc
Preferred
0-3 years experience preferred
Compliance experience preferred, such as exposure and knowledge of the 40Act and UCIT Funds
Any Sentinel experience is ideal
Strong Excel preferred
Company
KBW Financial Staffing & Recruiting
KBW Financial Staffing & Recruiting is a staffing and recruiting company providing accounting and financial placement services. It is a sub-organization of BANKW Staffing.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Jason Alexander
Chief Revenue Officer (CRO)
Matt Nagler
Managing Partner
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