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Brown Advisory · 2 days ago

Investment Compliance Analyst

Baltimore, MD

Full-time

Onsite

Entry Level

$70K/yr - $80K/yr

1+ years exp

Brown Advisory is an independent investment management and strategic advisory firm committed to delivering exceptional performance and client service. They are seeking a highly motivated Investment Compliance Analyst to join their compliance team, where the role involves implementing trading controls, collaborating with stakeholders, and enhancing compliance infrastructure.

Asset ManagementFinancial ServicesVenture CapitalWealth Management

Growth Opportunities

No H1B

Responsibilities

Design, implement, and maintain trading controls within the Charles River Investment Management Solution (CRD/CRIMS) based on client guidelines and regulatory standards

Develop proficiency in logic-based rules implementation within Charles River

Monitor pre- and post-trade compliance across a range of accounts, including private client and institutional portfolios, mutual funds, ETFs, and UCITS

Partner with investment teams to navigate trading controls and support portfolio management decisions

Prepare and distribute daily compliance reports to internal stakeholders

Collaborate with client and relationship teams to draft and review Investment Policy Statements

Lead and contribute to projects that enhance compliance infrastructure and streamline trade life-cycle processes

Identify potential compliance vulnerabilities and recommend corrective actions

Design and conduct sustainability screens in MSCI for investments on behalf of clients and UCITS with sustainable investment mandates

Qualification

Charles River Investment ManagementInvestment management experienceRegulatory frameworks knowledgeMicrosoft ExcelAnalytical skillsProblem-solving skillsCommunication skillsAttention to detailTeam collaboration