Analyst, Investment Compliance & Monitoring
Full Time
New York, NY
$68,000 - $102,000 a year
Posted
Job description
Primary Details
Time Type: Full time
Worker Type: Employee
At QBE, our purpose is to give people the confidence to achieve their ambitions inside and outside of work. From development opportunities, to flexible work options and highly competitive reward and benefits packages, we understand the importance of living our values when it comes to our people. Everything we do at QBE is underpinned by our company’s cultural elements – because we know it's not just what we do that matters, it's how we do it that makes the difference.
This opportunity is accountable for the execution of Group Investment's investment compliance framework and portfolio onboarding activities. The trading platform is transitioning from Bloomberg AIM to Blackrock Aladdin to cover investment compliance activities.
Primary Responsibilities
Required Education
Required Experience
Preferred Competencies/Skills
Preferred Knowledge
- Conduct daily post-trade and other compliance monitoring activities and provide quality deliverable in a timely manner, and perform initial investigations of post-trade violations and identify potential resolutions
- Monitor compliance dashboard for intra-day pre-trade compliance violations and perform initial investigations and identify potential resolutions
- Perform compliance rule coding, conduct detailed testing and exposure analysis to validate accuracy and effectiveness of rules
- Provide onsite compliance support to the Front Office in New York where required
- Assist in breach investigations and impact analysis and contribute to drafting of appropriate reporting to Group and divisional board and senior management
- Maintain the Investment Limits Binder
- Contribute to research on regulatory obligations & interpretations
- Assist in the end-to-end process of portfolio onboarding including portfolio and custody setup, broker and external manager onboarding and KYC activities
- Build and maintain relationships with key stakeholders across Group Investments, Group Treasury, and Group and divisional tax, legal, compliance and finance teams)
- Maintain appropriate documentation of investment compliance and portfolio onboarding procedures and followed required processes and controls
- Assist in the execution of Group Investment's strategic priorities as required
Required Education
- Bachelor's Degree or equivalent combination of education and work experience
Required Experience
- 2 years relevant experience
Preferred Competencies/Skills
- Excellent logic and numerical skills with the ability to code compliance rules and independently calculate exposures vs limit
- Strong communication and interpersonal skills, with the ability to interact effectively with wide range of internal and external stakeholders
- Ability to comprehend and interpret regulations, legal agreements, and KYC documentation
- Strong analytical and problem-solving skills
- Ability to work independently and manage multiple projects and priorities simultaneously
Preferred Knowledge
- Good knowledge of investment compliance framework, program and systems and best practices in the investment management industry
- Basic knowledge of regulatory requirements, including insurance prudential regulations such as APRA, PRA, NBB, NAIC and US state insurance regulations as well as financial markets regulations such as ASIC, SEC, FINRA and other relevant regulations
- Good knowledge of financial products across all asset classes (fixed income, equities, emerging markets, unlisted property and infrastructure equity, private debt, ETFs, and ETD derivatives)
QBE Cultural DNA
Everything we do at QBE is underpinned by our DNA (which interlinks seven cultural elements) – because we know it's not just what we do that matters, it's how we do it that makes the difference. We expect all employees to role model and inspire the right behaviors that link to our cultural elements:
We are customer-focused- We are technical experts
- We are inclusive
- We are fast-paced
- We are courageous
- We are accountable
- We are a team
All employees are expected to adhere to QBE’s Code of Ethics and Conduct and apply sound risk management practices.
US Only Section
Travel frequency: Infrequent (approximately 1-4 trips annually)
Travel frequency: Infrequent (approximately 1-4 trips annually)
Physical demands: General office jobs: Work is generally performed in an office environment in which there is not substantial exposure to adverse environmental conditions. Must have the ability to remain in a stationary position for extended periods of time. Must be able to operate basic office equipment including telephone, headset and computer. Incumbent must be able to lift basic office equipment up to 20 lbs.
US disclaimer
To successfully perform this job, the individual must be able to perform each essential job responsibility satisfactorily. Reasonable accommodations may be made to enable an individual with disabilities to perform the essential job responsibilities.
Global Disclaimer
The duties listed in this job description do not limit the assignment of work. They are not to be construed as a complete list of the duties normally to be performed in the position or those occasionally assigned outside an employee’s normal duties. Our Group Code of Ethics and Conduct addresses the responsibilities we all have at QBE to our company, to each other and to our customers, suppliers, communities and governments. It provides clear guidance to help us to make good judgement calls.
To successfully perform this job, the individual must be able to perform each essential job responsibility satisfactorily. Reasonable accommodations may be made to enable an individual with disabilities to perform the essential job responsibilities.
Global Disclaimer
The duties listed in this job description do not limit the assignment of work. They are not to be construed as a complete list of the duties normally to be performed in the position or those occasionally assigned outside an employee’s normal duties. Our Group Code of Ethics and Conduct addresses the responsibilities we all have at QBE to our company, to each other and to our customers, suppliers, communities and governments. It provides clear guidance to help us to make good judgement calls.
Compensation
Base pay offered will vary depending on, but not limited to education, experience, skills, geographic location and business needs
Annual Salary Range: $68,000 - $102,000
AL, AR, AZ, Fresno, CA, CO (Remote), FL, GA, IA, ID, IL (Remote), IN, KS, KY, LA, MI, MN, MO, MS, MT, NC, ND, NE, NH, NV, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, VT, WI, WV and WY
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Annual Salary Range: $75,000 - $112,000
CA (Remote, Irvine and Woodland), Greenwood Village CO, CT, Chicago IL, MA, MD, NY (Remote), RI, Houston TX and WA
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Annual Salary Range: $85,000 - $128,000
San Francisco CA, NJ and New York City NY
Benefit Highlights
You are more than your work – and QBE is more than a workplace, which is why QBE provides you with the benefits, support and flexibility to help you concentrate on living your best life personally and professionally. Employees scheduled over 30 hours a week will have access to comprehensive medical, dental, vision and wellbeing benefits that enable you to take care of your health.
We also offer a competitive 401(k) contribution and a paid-time off program. In addition, our paid-family and care-giver leaves are available to support our employees and their families. Regular full-time and part-time employees will also be eligible for QBE’s annual discretionary bonus plan based on business and individual performance.
QBE recognizes that exemplary benefits extend beyond benefits coverage and compensation. Flexibility in your working environment is important to maintaining balance and QBE is dedicated to ensuring employees achieve personal and professional integration by providing the opportunity for hybrid work arrangements.
#LI-NA
How to Apply:
To submit your application, click "Apply" and follow the step by step process.
Equal Employment Opportunity:
QBE is an equal opportunity employer and is required to comply with equal employment opportunity legislation in each jurisdiction it operates.
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