Investment Guideline Monitoring Specialist
As part of the team, you will be responsible for interpretation and implementation of investment guidelines and restrictions in multiple compliance systems and daily monitoring of investment portfolios against the guidelines,
Specific responsibilities include:
- Implement and test rules in internal systems, coordinate implementation performed by external service provider using their compliance monitoring system
- Identify and investigate alerts and data exceptions from automated and manually restricted investment guidelines, restrictions and regulatory rules.
- Analyze test logic and data points for coding compliance rules
- Participate in client portfolios on-boarding and change process.
- Perform rules, procedures, and key controls reviews
- Take ownership of tactical and critical initiatives which help elevate the effectiveness and efficiencies of IGM by improving systems, data sources and/or data quality
- Provide management information systems reporting to senior management and business partners on a regular basis.
- Respond to inquiries from auditors and other control functions
Your future colleagues
Credit Suisse Asset Management (merger with UBS expected to be completed in the summer of 2023) is a leading global Investment Manager with 400+bn assets under management. Our US business manages primarily alternative investments with non-investment grade credit which invests in public and private loans and CLOs being the largest strategy. Our other US strategies include Commodities, Quant, Municipals and Private Equity. Our clients are Institutions including Pension Plans, Endowments and Sovereign Funds Investment Guidelines Monitoring (IGM) team monitors adherence to client investment guidelines and restrictions and applicable local and regional regulatory rules. The team is responsible for coding investment guidelines in multiple IGM systems with a combination of data parameters related to securities, issuers, accounts, positions, transactions and counterparties. Examples of rules include concentration (no more than X% in a single issuer), restrictions on particular companies, industries, or countries, gross and net exposure and leverage We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm’s D&I ambition which is an integral part of our global cultural values.
This position offers remote working opportunities for an agreed amount of days per week.
- 3-5 years of experience in Financial Industry, Asset Management experience preferred
- Product and functional knowledge of various instrument types including Credit, FX and derivatives, registered & private funds and separately managed accounts markets
- Understanding of credit agreement, portfolio Indenture, Prospectus, IMA is helpful but not required
- Experience and knowledge of specific regulatory compliance rules for Asset Management - A Big Plus
- Experience with trading and order management and compliance systems is preferred; examples include, but not limited to, Charles River IMS, Allvue Black Mountain System (BMS), Wall Street Office (WSO), CDO Suite, Deloitte Solvas, and Advent Geneva
- Knowledge of interrelationships with counterparties, custodians, trustees and service providers
- Experience in translating business and application requirements into technical terms is helpful but not required
- Outstanding customer service skills and technical problem-solving skills.
- Outstanding written and verbal communication skills; proven commitment to working in close partnership with colleagues and stakeholders.
- Dedication to fostering an inclusive culture and value diverse perspectives
The salary range, if this role is being hired in New York City, is $110k - $150k annually, based on various factors such as experience, education, skills, internal and external market data, etc.
Your new employer
Find a new home for your skills, ideas, and ambitions. Credit Suisse offers you the ideal environment to progress your career, attractive benefits and excellent training.
We are a leading wealth manager with strong global investment banking capabilities founded in 1856. Headquartered in Zurich, Switzerland, and with more than 45,000 employees from over 150 nations, we are always looking for motivated individuals to help us shape the future for our clients.
Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success. We are committed to building a culture of inclusion with a deep sense of belonging for all of us. We will consider flexible working opportunities where possible. Our bank provides reasonable accommodations to qualified individuals with disabilities, as well as those with other needs or beliefs as may be protected under applicable local law. If you require assistance during the recruitment process, please let your recruiter know.
Credit Suisse complies with applicable federal, state, and local laws, as well as regulatory requirements, regarding considering of employment qualified individuals with criminal histories and prohibiting discrimination in employment in every jurisdiction in which it maintains facilities.
All Credit Suisse employees in the USA must be fully vaccinated against COVID-19 and submit proof of vaccination prior to their start date, except where exempted by applicable law.
Credit Suisse is a leading global wealth manager with strong investment banking capabilities. Headquartered in Zurich, Switzerland, we have a global reach with operations in about 50 countries and employ more than 45,000 people from over 150 diffe...
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