Asset Management Operations-New York-Senior Analyst- Investment Guidelines Coding

The Investment Guidelines Rule Coding team sits within AMD Investment Operations and has primary responsibility for implementing/coding investment guidelines into compliance monitoring systems and providing pre-trade & post-trade alerts/exceptions oversight and support. The Investment Guidelines Rule Coding team supports the investment teams and the investment process by providing advice and support for both new and existing client amended investment guidelines. The guidelines coding function involves setting up client & applicable regulatory investment guidelines in systems to enable effective monitoring of guidelines. These functions cover a wide range of clients and a complex product range, which include equities, fixed income, currencies, and derivatives. This role involves extensive interaction with traders, portfolio managers, client relationship management, legal, compliance, and operations to ensure effective oversight for existing business and also to shape and implement monitoring related solutions for new clients, products, strategies, and system architecture in a continuous evolving environment.

JOB SUMMARY AND RESPONSBILITIES

• Holistic ownership and understanding of client accounts, trade life cycle and act as a single point of contact for AMD business for any investment guideline issues or queries. Types of accounts include institutional separately managed accounts, regulated mutual funds/pooled vehicles, and hedge funds.
• Ability to understand and decipher Investment Management Agreements, Fund Prospectuses, Statement of Additional Information (SAI), Investment Policies and other client investment restrictions including the evolving landscape of Environmental, Social and Governance (“ESG”) client and regulatory requirements.
• Implement and maintain client and regulatory guideline rules on compliance platforms
• Liaison with Investment Teams to ensure understanding and adherence to investment guidelines
• Partner with various operations and technology engineering teams to improve data availability and quality, and improvements/modernization of existing processes.
• Partner with post-trade guidelines monitoring team to provide advice and assistance in resolving guideline exceptions, false exceptions reduction, and manually monitored investment guidelines.
• Represent the team in client meetings for due diligence purposes
• Partner and liaise with client implementation team to qualify new business, implement account events, and ensure the adequacy of account surveillance.
• Providing effective thought leadership in navigating evolving financial regulatory landscape and helping to develop technological solutions to build appropriate architecture.

 

BASIC QUALIFICATIONS

• Bachelor’s degree required
• Analyst/Associate/Executive Director level with around 2-4 years of professional experience in the financial services industry 
• Knowledge of operational aspects of trade management or investment guidelines surveillance
• Be highly collaborative, team-oriented, and strong consensus builder
• Demonstrate ability to partner across product groups, regions, and functional responsibilities 
• Possess strong communication and interpersonal skills both written and oral

PREFERRED QUALIFICATIONS

• Understanding of equity, fixed Income, currencies, and derivative instruments 
• CFA (Chartered Financial Analyst) / FRM (Financial Risk Manager by GARP) / CISI (Chartered Institute for Securities & Investment) certifications will be a plus
• Strong Microsoft Excel skills 
• Experience in coding and/or monitoring investment guidelines using systems such as Sentinel, Charles River, Aladdin, Bloomberg AIM will be an advantage
• Be a strategic thinker, possess strong facilitation and data gathering skills
• Effective problem solver, multi-tasking, attention to detail, and ability to work in a fast-paced environment with tight deadlines
• Risk management focus

 

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Salary Range 
The expected base salary for this New York, New York, United States-based position is $70000-$95000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.

Benefits
Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-ti