Investment Compliance Analyst

About Atrium:

What you do matters. As a people-centric organization, we foster an environment of collaboration, high performance, and innovation where your talents are valued and your achievements are celebrated. Join us and become part of an inclusive team.

Client Overview:

Our client is a global investment management firm with a long-standing history. They provide a broad range of investment solutions across multiple asset classes, supported by a research-driven and collaborative approach. They are seeking someone to complete a contract role that will last until the end of the year with a possible extension. Their team is now looking for a Investment Compliance Analyst.

Salary/Hourly Rate:

$35/hr – $40/hr

Position Overview:

The Investment Compliance Analyst works within a team responsible for monitoring portfolio guidelines and maintaining portfolio integrity. This team operates as part of a larger service group that supports investment teams by providing essential data, controls, and operational assistance. The primary goal is to ensure that each investment team’s strategy and intent are accurately executed while complying with client-specific regulatory and operational requirements. This service group also encompasses other specialized teams focused on implementing portfolios, managing portfolio data, overseeing service operations, measuring performance, and handling portfolio accounting functions. The Investment Compliance Analyst requires close collaboration across these functions to maintain high standards of accuracy, compliance, and efficiency in portfolio management.

Responsibilities of the Investment Compliance Analyst:

• Provides support to investment teams to ensure transactions and holdings comply with client guidelines and regulations.
• Reviews Investment Management Agreements and evaluates client-specific guidelines.
• Maintains and updates the guideline monitoring system, Sentinel.
• Performs real-time pre-trade support with investors.
• Resolves post-trade exceptions flagged by Sentinel.
• Collaborates with internal teams including Global Relationship, Product Management, and Portfolio Management.
• Develops a strong understanding of investment strategies in relation to regulatory and client requirements.

Required Experience/Skills for the Investment Compliance Analyst:

• 1 – 3 years of relevant professional experience is preferred.
• Background in investment management is required, with familiarity in asset classes such as equities, fixed income, and derivatives.
• Experience in compliance or regulatory roles is preferred, especially with knowledge of 1940 Act and UCITS fund regulations.
• Familiarity with compliance monitoring systems, particularly Sentinel, is a strong advantage.
• Strong communication skills are essential, as the role involves frequent collaboration with portfolio analysts and other internal teams.
• Proficiency in Microsoft Excel is preferred; experience with SQL or Python is considered a plus.
• Strong understanding of various investment instruments, including equities, fixed income products, and derivatives.
• Experience monitoring investment guidelines, coding restrictions, and using compliance systems—especially Sentinel—is highly desirable.
• A proactive and results-oriented mindset is important, along with strong attention to detail and a focus on controls.
• Strong organizational skills and the ability to manage multiple priorities effectively are key.
• Excellent verbal and written communication skills are required, along with the ability to work independently and within a team.
• Strong computer literacy, including knowledge of Microsoft Word, Excel, and similar tools, is expected.

Education Requirements:

• Bachelor’s degree required.

Benefits:

• Atrium Care Package available, upon eligibility (including healthcare plans, discount programs, and paid time off).

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As a woman-owned firm, we value diversity. We are an equal opportunity and affirmative action employer and will consider all applications without regard to race, sex (including gender, pregnancy, sexual orientation and gender identity), age, color, religion or creed, national origin or ancestry, veteran status, disability (physical or mental), genetic information, citizenship or any other characteristic protected by law. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Candidates who apply for roles through the Atrium website will be added to our candidate pool and may be considered for additional roles of a similar title. Please contact us to request an accommodation.
EOE/M/F/D/V/SO