[Hiring] Investment Compliance Support Specialist @Converged Security Solutions

Role Description

Evolver is seeking an Investment Compliance Support Specialist to perform daily compliance, account management and ad hoc responsibilities. Role is remote.

Essential Job Duties and Responsibilities

• Daily Compliance
  • Perform independent assessment of review of all incidents that are moving to “Close – No Action” status (aka set to ‘Approved’)
  • Perform independent assessment of all trading day compliance overrides/fails and discuss with respective FI/EQ Compliance Officers on any open items
  • Perform review and support of Data Exception analysis
• Account Management
  • Assist with guideline coding questions for new accounts or amendments
  • Assist with reviewing newly coded accounts or amendments
• Technology
  • Assist compliance team with project and initiatives involving technology and data analysis
  • Key point of contact for data sourcing needs
  • Act as intermediary between Compliance & Technology
  • Act as intermediary between Investment Compliance and CRD SaaS
  • Act as intermediary between Investment Compliance and Investment Ops as needed
• Compliance System Maintenance
  • Ensure workflow documentations are up to date and are effective
  • Conduct regular rule library and list maintenance
  • Work closely with Investment Compliance Team on further enhancing effectiveness of our rule coding strategy and other investment compliance processes
  • Perform rule and system testing involving tech or data changes that impacts Compliance monitoring
  • Work as a key technical member for future system upgrades and version releases
• Ad Hoc Projects
  • Provide CRD Compliance module training to Investment Compliance and business teams as needed
  • Assist in research as needed in ad hoc projects
  • Work closely with leadership team to develop an effective and flexible Investment Compliance Program
  • Participate in and support CRIMS future phases and upgrades

Qualifications

• 3-5 years of experience with Charles River, Bloomberg Compliance, and development of proprietary compliance/risk and trading applications.
• 3-5 years of experience in Asset management technology specializing in compliance and risk management for hedge funds, private equity, and traditional asset managers.
• 3-5 years of experience in compliance, risk management, data, software development, process engineering, and project management.
• Bachelors Degree or 7-10 years of equivalent experience or relatable certifications

Preferred Qualifications

• Experience performing asset-manager oversight, Board support, and due diligence reviews.
• Strong track record of optimizing applications, processes, and solving complex problems with practical solutions to eliminate pain-points and save time and budget.

Benefits

• Health, dental and vision insurance
• 401(k)
• Flexible spending account
• Paid leave (including PTO and parental leave) in accordance with our applicable plans and policies

EOE Statement

Evolver is an equal opportunity/affirmative action employer. All qualified applicants will receive consideration for employment without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected Veteran status, age, or any other characteristic protected by law.