Investment Restriction compliance
Your Day-to-Day:
• Perform pre-trade and post-trade compliance controls on investment restrictions across various funds
• Monitor and analyse investment guideline breaches and ensure proper escalation when required
• Interpret fund prospectuses, regulatory requirements and client-specific guidelines
• Ensure timely follow-up and resolution of compliance breaches in coordination with internal stakeholders
• Contribute to the daily compliance monitoring activities and reporting processes
• Support the maintenance and enhancement of compliance rules within the systems
• Participate in the improvement of internal controls, procedures and workflows
• Collaborate with portfolio managers, risk, operations and IT teams to ensure proper implementation of restrictions
• Assist in regulatory and internal reporting related to investment compliance
• Ensure data accuracy and consistency within compliance monitoring tools
Your Profile:
• 4–5 years of experience in Investment Compliance / Investment Restrictions within Asset Management or Financial Services
• Strong knowledge of financial instruments and regulatory frameworks (UCITS, AIF, etc.)
• Experience with compliance monitoring tools (e.g. Charles River, Aladdin, Sentinel or similar)
• Good understanding of portfolio management processes and investment guidelines
• Strong analytical skills and attention to detail
• Ability to identify issues, prioritise and follow through on resolutions
• Comfortable working in a fast-paced and deadline-driven environment
• Strong communication skills and ability to interact with multiple stakeholders
• Professional proficiency in English and French