Assistant Manager, Portfolio Compliance

The role

You will configure, maintain, and monitor pre-trade and post-trade compliance rules in Charles River. You will also perform portfolio compliance monitoring, investigate breaches, and collaborate with various departments to resolve issues.

What you will do

• Configure, maintain, and monitor pre-trade and post-trade compliance rules in Charles River.
• Review and interpret client guidelines, IMAs, and regulatory requirements.
• Perform ongoing portfolio compliance monitoring and investigation of breaches.
• Prepare internal, client, and regulatory compliance reports.
• Support testing, implementation, and enhancement of compliance monitoring processes.
• Utilize FundApps to monitor and report beneficial ownership, short selling, and takeover panel disclosures.
• Collaborate with Portfolio Management, Operations, Legal, and Compliance colleagues.
• Contribute to the maintenance and improvement of portfolio compliance procedures and documentation.

Required qualifications

• Hands-on experience in investment compliance rule coding within Charles River Investment Management Solution (CRIMS).
• Working knowledge of global regulations including UCITS, 1940 Act, and NI 81-102.
• Solid understanding of portfolio compliance monitoring processes and interpretation of IMAs and client guidelines.
• 8+ years of relevant experience in the investment management industry.
• At least 6 years focused on investment compliance.
• Strong expertise in investment products.
• Strong facilitation, analytical, and data-gathering capabilities.
• Strong problem-solving skills with high attention to detail.
• Ability to perform under pressure and meet tight deadlines.
• Strong verbal and written communication skills.
• Ability to collaborate effectively within a team and work independently.
• Strong organizational, prioritization, and time management capabilities.

Nice to have

• CFA qualification
• Bachelor’s degree in Business or Finance

Benefits

• Flexible work practices
• Continuous learning budgets
• Paid study days
• Support for professional designations
• Competitive total compensation
• Retirement savings support
• Wellness credits
• Enhanced parental leave
• Comprehensive health benefits

About the company

Connor, Clark & Lunn Financial Group is an investment management firm where compliance plays a critical role in the investment process.