Sr Analyst, Investment Compliance

Company Overview

Founded in 1989, PanAgora (Greek for across marketplace) Asset Management is a premier provider of investment solutions spanning most major asset classes and risk ranges.  We seek to provide investment solutions using sophisticated quantitative techniques that incorporate fundamental insights and vast amounts of market information.  While PanAgora’s investment strategies are highly systematic in nature, the processes deployed within these strategies are built and overseen by talented professionals with significant and diverse investment experience.  Innovative research plays a central role in our investment philosophy and process, and is an essential component of our firm’s ability to deliver attractive investment solutions.  Investment teams are organized into an Equity Strategies group and a Multi Asset Strategies group.   Most investment team members are engaged in original research using fundamental intuition, market intelligence, modern finance and scientific methods.

We are committed to providing clients with reliable investment processes, consistent performance, transparency, and access to our investment resources. Our client base is comprised of institutional investors across the globe, including public & private retirement funds, sovereign wealth funds, endowments & foundations, and sub-advisory mandates. 

SUMMARY

The Senior Analyst, Investment Compliance, is responsible for supporting the firm's investment compliance program. This includes reviewing client investment guidelines and investment management agreements, coding compliance rules for client accounts into the investment compliance system, and monitoring pre- and post-trade alerts.  The Senior Analyst will also work with other departments, such as legal, finance, portfolio management, trading and operations, to ensure that the firm adheres to all client and regulatory guidelines.

Primary Duties and Responsibilities

• Review client investment management agreements
• Code new accounts into the compliance management system
• Monitor pre- and post-trade compliance alerts
• Develop and maintain strategic relationships with multiple teams within PanAgora; Client Service, Portfolio Management, Trading, Legal, etc.
• Work with departments to ensure compliance with all applicable laws and regulations

Essential Skills

• Bachelor's degree in a related field, such as finance, law, or accounting
• Experience in Enfusion Compliance System a plus
• 5+ years of experience in investment compliance, with a focus on the financial services industry
• Strong understanding of regulatory requirements, such as those of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC)
• SQL and Java knowledge a plus
• Strong analytical and problem-solving skills
• Excellent written and oral communication skills
• Ability to work independently and as part of a team
• Ability to manage multiple projects simultaneously
• Ability to work under pressure and meet deadlines

Salary Range: $90,000 - $150,000

Job Posting Disclaimer: The posted salary range represents the company’s good faith estimate of the compensation for this position at the time of posting and the same is not a promise of a particular wage for any individual.  Actual compensation may be dependent on a variety of factors including, but not limited to, the candidate’s experience, education or skills, and other factors.

**PanAgora is an equal opportunity employer and provides equal employment opportunities to job applicants and employees without regard to race, religion, sex, marital status, color, national origin, age, physical or mental disability, veteran status, pregnancy, ancestry or sexual orientation. PanAgora is committed to maintaining an environment that is free from discrimination as well as adhering to applicable federal and state laws.