Investment Restrictions and Data Analyst Trade Compliance Analyst

Advantages
What’s in it for you!
As a Trade Compliance Analyst with our client, you’ll receive:
- Highly competitive market hourly rates
- A 6 month contract with a strong probability of extension
- Remote interview process

Responsibilities
• Ensure all regulatory, client and internal restrictions and guidelines are coded and monitored properly in the trading system for pre and post trade in order to safeguard the business from risks of non-compliance. Review, investigate and resolve alerts in a timely basis, and escalate to relevant stakeholders where appropriate. Identify and report all non-code-able rules to team manager and other business stakeholders.
• Provide data management support to AMCA business by managing the flow of information between Market Enterprise data management system and Charles River trading system. Data management also encompasses Market Data (including issuers, financial instruments, prices, FX rates and indices), and Static Data (including counterparties, funds, client accounts and internal data mapping tables). Complete project and ad hoc work as delegated.
Investment Restrictions Coding and Alert Monitoring
• Provide feedback on code-ability of all applicable investment restrictions at new account onboarding or fund launch process. Work closely with Portfolio Managers, Products Management, and Compliance teams on the interpretation of the restrictions/rules.
• Review all clients and fund investment policy statements; carry out rule coding and associated activities to systematically monitor restrictions.
• Review and test rules to identify deficiencies and confirm the coded rules result in the desired outcomes. Document proper process flows and test results.
• Work with other internal stakeholders to ensure rule accuracy and any restriction changes to client or fund accounts are captured timely and accurately.
• Provide coverage in monitoring of pre and post trade alerts in all applicable systems; include non-code-able restrictions.
• Assist with reporting management information requested by global team.
• Assist with the preparation of quarterly and semi-annual Certificates of Compliance for certain Institutional clients.
Data Management
• Monitor and resolve trade and new security and accounts data exceptions.
• Respond to data queries and communicate with internal stakeholders as necessary.
• Support business to review and resolve data related issues.
• Ensure global data policies and standards are adhered to.
• Support the generation of management information and other data related requests.
• Review staled, delisted, suspended and defaulted securities. Investigate possible options to fair value these securities. Report price exceptions and other reports outlined in the AMCA Pricing and Valuation Committee’s (“PVC”) Terms of Reference monthly to Head of Operations and the PVC.
• Update and communicate certain information such as party lists, cluster munitions and sanctions countries and entities to stakeholders.
• Ensure the AMCA Pricing and Valuation Policies and Guidelines are adhered to.
• Provide administrative support for Proxies that required investment manager’s attention.
General
• Complete ad hoc requests and assist with projects as they arise, e.g., audit requirements, coordinate system enhancement requests with IT, work on global restriction and data management projects.
• Update procedures as required.

Qualifications
•Undergraduate degree in Finance or other related quantitative disciplines
•1-3 years of related work experience in investment management industry
•Trading knowledge, asset management industry experience
•Comfortable with handling raw data
•Has interest in the investment management industry
•Strong analytical skill and problem-solving skill
•Go-getter attitude. Self motivated. Detail oriented



Summary
If you are a Trade Compliance Analyst and the prospect of joining a dedicated team intrigues you, then this role with our high-profile client could be the perfect opportunity for you.

Randstad Canada is committed to fostering a workforce reflective of all peoples of Canada. As a result, we are committed to developing and implementing strategies to increase the equity, diversity and inclusion within the workplace by examining our internal policies, practices, and systems throughout the entire lifecycle of our workforce, including its recruitment, retention and advancement for all employees. In addition to our deep commitment to respecting human rights, we are dedicated to positive actions to affect change to ensure everyone has full participation in the workforce free from any barriers, systemic or otherwise, especially equity-seeking groups who are usually underrepresented in Canada's workforce, including those who identify as women or non-binary/gender non-conforming; Indigenous or Aboriginal Peoples; persons with disabilities (visible or invisible) and; members of visible minorities, racialized groups and the LGBTQ2+ community.

Randstad Canada is committed to creating and maintaining an inclusive and accessible workplace for all its candidates and employees by supporting their accessibility and accommodation needs throughout the employment lifecycle. We ask that all job applications please identify any accommodation requirements by sending an email to accessibility@randstad.ca to ensure their ability to fully participate in the interview process.