Post Trade Compliance Analyst

SS&C • Denver, CO

1d • Hybrid

About The Position

As a Post-Trade Compliance Analyst, you will serve as a critical control within the investment management process, ensuring portfolios remain compliant with regulatory requirements and client investment guidelines. You'll investigate complex compliance scenarios, collaborate with investment professionals and clients, and help maintain the integrity of automated compliance monitoring programs while contributing to ongoing process improvements and operational excellence.

Requirements

• Bachelor’s degree in Finance, Accounting, Economics, Business, or a related field or equivalent experience.
• 1–4 years of experience in investment compliance, fund accounting, portfolio accounting, operations, or asset management.
• Strong understanding of financial markets and investment securities, including: Equities, Fixed Income, Bank Loans, ETFs, Mutual Funds, Derivatives, Alternative Investments
• Working knowledge of the Investment Company Act of 1940 and common regulatory investment restrictions.
• Strong analytical and problem-solving skills with exceptional attention to detail.
• Excellent written and verbal communication skills.
• Advanced proficiency in Microsoft Excel.

Nice To Haves

• Experience with automated compliance monitoring platforms.
• Familiarity with Bloomberg, Geneva, Advent, or similar investment systems.
• Experience reviewing prospectuses, SAIs, investment guidelines, or compliance manuals.
• Exposure to registered investment companies (RICs), closed-end funds, interval funds, ETFs, or private funds.
• Experience supporting SEC Rule 35d-1 (Names Rule), Sections 5(b), 12(d), 18, Rule 12d3-1, Rule 18f-4, and other Investment Company Act requirements.
• Strong critical thinking and investigative abilities.
• Ability to interpret complex legal and regulatory language.
• Excellent organizational and time-management skills in a deadline-driven environment.
• Ability to manage multiple client relationships simultaneously.
• Strong interpersonal skills with a collaborative, service-oriented mindset.
• Ability to identify operational risks and recommend practical solutions.
• Continuous improvement mindset with an interest in automation and process optimization.

Responsibilities

• Perform daily post-trade compliance testing across multiple investment portfolios using automated compliance monitoring systems (e.g., Eze Compliance or similar platforms).
• Investigate potential compliance breaches by reviewing portfolio holdings, trade activity, prospectus language, Statements of Additional Information (SAIs), and applicable regulations.
• Communicate with investment advisers, compliance officers, portfolio managers, fund accounting teams, legal departments, and custodians to obtain clarification or supporting documentation.
• Prepare concise written documentation supporting compliance determinations and maintain complete audit trails for regulatory and client review.
• Monitor client inquiries and compliance-related requests, ensuring timely resolution and professional communication.
• Perform periodic reviews of investment guidelines and regulatory requirements, translating legal language into operational compliance tests.
• Assist with implementation of new compliance rules, client onboarding, and coding of investment restrictions within compliance systems.
• Validate security classifications, issuer attributes, benchmark information, and market data used in automated testing.
• Support daily, month-end, quarter-end, and annual compliance reporting requirements.
• Participate in user acceptance testing (UAT) for compliance system enhancements and data validation initiatives.
• Identify opportunities to improve operational efficiency through automation, process improvements, standardized procedures, and documentation.

Benefits

• medical, dental, and vision coverage
• a 401(k) plan with company match
• paid time off, holidays, and parental leave
• professional development reimbursement opportunity
• discretionary bonus
• equity awards, such as restricted stock units or stock options

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level