What are the responsibilities and job description for the Guideline Portfolio Monitoring Analyst position at KBW Financial Staffing & Recruiting?
Jr. Guideline Portfolio Analyst
Location: Hybrid
Compensation: $25-$40 per hour (commensurate with experience)
About the Opportunity
A leading investment management firm is seeking a Jr. Guideline Portfolio Analyst to support investment teams by ensuring transactions and holdings comply with client guidelines and regulatory requirements. This role is an excellent opportunity for recent graduates or professionals with 1-2 years of experience and a strong interest in investments, compliance, and portfolio management.
Key Responsibilities
- Provide real-time, pre-trade support to investment teams to ensure compliance with client guidelines and regulatory requirements.
- Review Investment Management Agreements (IMAs), evaluate client guidelines, and maintain the guideline monitoring system.
- Resolve post-trade incident exceptions generated from compliance systems.
- Collaborate with internal teams, including Guideline Monitoring Analysts, Global Relationship Teams, Product Management, and Portfolio Management, to develop a thorough understanding of investment strategies relative to client requirements.
- Demonstrate knowledge of investment products, including equity, fixed income, and derivatives.
- Assist with investment compliance processes, including monitoring guidelines, understanding 40 Act and UCITs fund requirements, and coding restrictions into systems like Sentinel.
- Support process improvements and maintain strong controls and organizational practices.
Qualifications
- Bachelor’s Degree required.
- 0-3 years of experience preferred; prior experience in investment management is highly valued.
- Familiarity with investment products (e.g., equity, fixed income, derivatives) and compliance regulations (40 Act and UCITs Funds) is preferred.
- Experience with compliance monitoring systems like Sentinel is a plus.
- Proficiency in Excel and strong computer literacy.
- Exceptional communication and organizational skills, with the ability to manage competing priorities.
Additional Details
- Schedule: 8:30 AM – 5:00 PM, hybrid work arrangement.
- Hourly Rate: $25-$40/hour, depending on experience.
How to Apply:
Interested candidates should submit their resumes to wcochran@kbwfinancial.com.
KBW789
*MONKBW*
Salary : $25 - $40
