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Senior Associate

Five Corners, New Jersey, United States
Closing date
Feb 12, 2024

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Job Role
Senior Manager
Contract Type
Full Time
Senior Associate (CRD)

Essential job requirements include:

Technical Expertise:
o Perform review of existing rules to ensure accuracy and effectiveness in Charles River Development (CRD)
o Code new rules or amend existing rules in CRD
o 6+ years of experience in a financial services organization (preferably a bank, capital markets organization or broker-dealer), regulatory agency, or consulting firm with a clear record of expertise, accomplishment, and impact
o Adept at coding complex products such as Equity, Fixed Income, derivatives, shared classes, etc.
o Review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with relevant stakeholders to ensure rectification
o Rule coding/rule testing/ batch monitoring in CRD
o Address compliance alerts/warnings (mainly overnight compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process
o Interaction with members of regional and global compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing, and related controls.
o Review of existing rules to ensure accuracy and effectiveness in order management system
o Preparing testing documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules on order management system
o Partner with monitoring team to reduces false breaches and re-code the rules
o Partner with various operations team to improve data availability and overall quality of underlying data
o Good knowledge of and experience with Equity/Fixed Income/Derivatives/ETFs required, including UCITS Funds, Institutional Products and 40 Act Funds. Knowledge of securities regulation as it relates to operations within advisor compliance programs

In addition to the above essential skills, it would be a bonus to have:

o Good understanding of the Investment Management industry and experience working with a financial services consulting organization or asset/investment management firm
o Subject matter expertise in financial services buy side / sell side operations and / or Investment Management and Capital Markets
o Strong knowledge in middle and back-office operations, investment operations and knowledge of investment management platforms
o Experience of assisting ongoing review of relevant processes/procedures/policies to ensure best practice

Excellent Project Management skills:
o Demonstrate ability to work with subject matter experts in key areas of risk management to perform capability gap assessment, design a recommended future state, and outline an implementation strategy
o Good project management skills
o Ability to lead workstreams and/or small teams within the context of a larger project, including building strong and effective business relationships


Awareness of trends, marketplace events and leading practices - should have natural interest in learning new things proactively and keep updated on the regulations and industry happenings
Collaborative and inclusive behavior - should be a compatible team player and focus on the collective goal
Ability to manage ambiguity and problem-solving techniques - assesses a series of solutions to choose the most appropriate for the given problem, revaluates the progress for the chosen solution over time
Attention to detail - retains concentration on even the most tedious of tasks to ensure an absence of defects
Communication skills - can understand, and be understood, when discussing business and technical issues
Resourcefulness - uses reference materials to find solutions, prompt innovation and aid personal development

Preferred Qualifications

· MBA/Master's degree in Finance

· FRM and/or CFA certification

· Prior Consulting experience

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