Corporate Graduate, Investment Compliance

About the Role

This is a 12-month graduate program focusing on gaining first-hand experience in Investment Compliance. Successful graduates will be considered for full-time positions at the end of the program.

Key Responsibilities

• Support and carry out critical Investment Compliance functions, including pre- and post-trade monitoring against regulatory requirements, operating policies, and fund/client investment restrictions, with a focus on equities, fixed income, and derivatives.
• Help manage investment restrictions in Aladdin across account and asset types.
• Provide daily support for Portfolio Management, Trading, and Operations.
• Support Portfolio Management and Trading in resolving daily investment compliance exceptions by investigating root causes and applying problem-solving skills.
• Complete detailed reviews and/or complex calculations to verify compliance with investment guidelines, regulatory restrictions, and/or ad-hoc requests.
• Flag potential compliance issues and recommend corrective action.
• Help prepare compliance reports that support ongoing monitoring and testing and provide documentation and information to management.
• Partner with global counterparts to ensure appropriate regional coverage and identify opportunities for global consistency.
• Support change management, including new account setups and amendments to existing Investment Guidelines, by interpreting, quantifying, coding, and testing Aladdin compliance rules.
• Monitor and fulfill ad-hoc Aladdin coding requests submitted through ServiceNow.
• Contribute to new processes and propose solutions to complex problems.
• Complete assigned workloads accurately and on time.
• Perform other duties as assigned.

Requirements & Tech Stack

• Microsoft Excel (intermediate computer skills)
• Aladdin
• ServiceNow
• Nice to have: Microsoft SQL, Python, Snowflake, PowerAutomate, Visual Basic (or willingness to learn)

Qualifications

• Bachelor’s degree preferred (Accounting, Finance, or related field preferred).
• Strong analytical and problem-solving skills.
• Attention to detail and ability to exercise balanced judgment and decision making under pressure.
• High energy, positive attitude, enthusiastic, professional, with a strong work ethic and willingness to engage senior team members when appropriate.
• Good planning, prioritization, and organizational skills.
• Nice to have: Some experience within asset management across a broad range of products and investment management fields.