New Policy Specialist jobs in Rock Island, IL

Investment Management Firm (100B AUM) 

• Hybrid, 3 days in office in Chicago Loop 
• Full relocation available
• Base Bonus 120k - 140k
• Robust benefits package 

• CRIMS policy implementation. 
• Governing Document Review: Interpret investment agreements and documents to identify compliance requirements and establish validation rules.
• Compliance Rule Creation: Develop and document new rules in Charles River IMS.
• Portfolio Guidelines Accuracy: Ensure accuracy of client portfolio guidelines in CRIMS.
• Restriction List Management: Maintain and update client-directed restriction lists.
• Post-Trade Report Review: Daily review of reports for compliance alerts and necessary corrections.
• Support for Portfolio and Trading: Provide support on compliance queries from clients and colleagues.
• Compliance Alert Analysis: Analyze alerts for accurate decisions, utilizing expertise and data.
• Automation Improvement: Assist in enhancing automation capabilities.
• Supervisory Exception Report Review: Review and address potential exceptions identified in daily reports.
• Client Account Certifications: Complete periodic certifications and questionnaires.
• Forensic Testing: Conduct testing to ensure adherence to trading policies and identify irregularities.
• Policy and Procedure Updates: Assist in updating compliance policies in response to business or regulatory changes.
• Process Efficiency Initiatives: Identify and implement process improvements.
• Participation in Initiatives: Engage in compliance-related initiatives and projects as assigned.  

Experience & Skills 

• 3 years coding client and regulatory guidelines in CRIMS
• including: complex (conditional) compliance rules & benchmark comparative rules.

• ideally: US fund compliance, SMAs, Portfolio Administration, Operations, or Risk Management.
• Compliance rule construction and data requirements.
• Sound knowledge of: equity, fixed income & derivative asset classes.
• Proven experience working with the front office.
• Familiarity with trade order lifecycle.
• Understanding of: Securities industry and regulatory requirements (IAA, ICA, ERISA)
• Data Analysis and proficiency with SQL, v-lookup, pivot tables, etc., MS SQL Server, Excel
• Interpersonal skills, ability to work independently and in teams.
• Bachelor's degree