Senior Compliance Analyst

Overview

IMP Consulting is a high-profile consulting company north of Boston serving the investment management industry. Our patented CLEAR Compliance service offers an AI/ML-assisted solution for ingesting compliance documentation, digitizing guidelines and working seamlessly with the OMS. IMP provides a competitive and rewarding career path with opportunities to advance to senior-level roles within the firm. By joining IMP, you will play a meaningful role in the development of the firm and our consulting innovations.

Senior Compliance Analyst – CLEAR Compliance Consulting

The ideal candidate has experience using one of the market-leading OMS (e.g., Aladdin, CRD, Allvue, Bloomberg CMGR) or a custom system for a large asset manager, and combines project, compliance, regulatory, business analysis, and product skills.

• Help scope projects and keep them on track.
• Implement and follow IMP’s proprietary compliance project methodologies.
• Perform extractions by reviewing client documentation to extract client requirements (rules, manual rules, workflows) from source documents (IMAs, Prospectuses, SAIs, etc.).
• Code & test rules in various OMS.
• Implement best practices for asset managers.
• Assist with compliance upgrade projects and support comparisons and reconciliations, specifically:
• Assist with data comparisons between previous and new software versions (accounts, rules, end-of-day compliance results, security master data, and other relevant compliance data or functionality).
• Troubleshoot and identify key data issues impacting compliance rules and functionality.
• Assist with key compliance migration efforts and tasks (rule testing, account readiness review, etc.).

• Minimum 5 years’ industry experience.
• Bachelor’s degree in finance, business, computer science or equivalent industry experience. Industry certification or advanced degree a plus.
• Investment management (buy-side related) compliance experience, preferably as a compliance officer, compliance manager, or implementation specialist for a vendor.
• Experience working with a commercial OMS or custom system for a large asset manager.
• Project management and business analysis skills preferred.
• Experience in creating and executing test plans on projects for rule testing.
• Strong knowledge of equities, fixed income, derivatives, and the trade order life cycle.
• Solid written and oral communications skills.
• Understanding of compliance and the Investment Company Act of 1940 a plus.
• Working knowledge of relational databases and ability to write queries in Oracle or MS SQL Server a plus.

Greater Chelmsford Area, MA. In-person office days are required. Some travel may be required.

• Medical / Dental Insurance
• 401k, with company match
• 10 paid holidays, 15 paid vacation days, up to 5 sick days