Website Jean Martin Systems
CLIENT REPORTING & INVESTMENT COMPLIANCE
Client Reporting – Investment Compliance – US Asset Management
Role Overview:
We are seeking a professional to support client reporting, investment compliance monitoring, and compliance documentation within a US Asset Management environment. The role requires strong analytical skills, an understanding of investment compliance concepts, and the ability to review information carefully, investigate exceptions, and deliver accurate client-ready outputs.
Key Responsibilities:
Client Reporting & Investment Compliance:
– Prepare and review client reports for US-based asset management clients, ensuring accuracy and timely delivery.
– Review investment data against client guidelines and investment restrictions.
– Investigate compliance exceptions, identify discrepancies, and follow up for resolution.
– Recognize the importance of compliance checks and the impact of errors or missed exceptions.
DDQs, RFPs & Compliance Documentation:
– Prepare and review DDQs, RFPs, compliance certificates, and other client-related documentation.
– Gather and validate information from relevant sources to ensure responses are accurate, consistent, and supported.
– Understand the purpose of the information being reported rather than relying only on existing templates.
Systems & Reporting:
– Use an Order Management System (OMS) or similar platform to extract reports and review investment and compliance data.
– Analyze system-generated reports, investigate flagged items, and identify discrepancies requiring further review.
– Support improvements to reporting accuracy, efficiency, and consistency.
Stakeholder Coordination:
– Coordinate with internal teams to resolve queries and meet reporting deadlines.
– Follow up on outstanding information and maintain appropriate supporting documentation.
– Escalate potential compliance concerns in line with established procedures.
Required Qualifications & Skills:
– 2 – 5 years of experience in Asset Management, Investment Compliance, Trading Compliance, Client Reporting, or Regulatory Reporting.
– Good conceptual understanding of investment compliance, client investment guidelines, and compliance monitoring.
– Ability to analyze information, understand exceptions, and appreciate the importance of accuracy in reporting and documentation.
– Strong analytical skills, attention to detail, communication skills, and a practical approach to problem-solving.
Preferred Experience:
– Experience supporting US-based asset management clients in Investment Compliance, Trading Compliance, Client Reporting, or Regulatory Reporting.
– Prior experience preparing or reviewing DDQs, RFPs, compliance certificates, or similar documentation.
– Hands-on experience with an Order Management System (OMS), including report extraction and review.
– Exposure to trading compliance processes and investment management workflows.
To apply for this job please visit www.iimjobs.com.
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