Senior Systems Compliance Analyst

 Senior Systems Compliance Analyst

Position Description

NEAM has an opening for a Senior Systems Compliance Analyst in our Farmington, CT office. 

The position is responsible for reviewing client mandates and ensuring investment guideline coding accurately reflects a client’s investment guidelines.   

The position works closely with Portfolio Management, Trading, Compliance, and Technology teams and leverages the firm’s trading and compliance system, Charles River. 

The position plays a key role in supporting the firm’s pre- and post-trade compliance workflows.  Successful candidates must meet tight deadlines and be able to manage multiple priorities effectively.  

The position will have contact with clients, portfolio managers and others within the firm, which requires strong management and communication skills.

Work within a small team to provide day‑to‑day operational support for NEAM’s Charles River Trading & Compliance platform, ensuring high availability and timely issue resolution

Codes client guidelines on Charles River platform:

Analyzes IMA’s and requests to develop or modify guidelines
Identifies data required from source systems to implement guidelines on compliance system
Codifies and tests guidelines utilizing compliance system to develop new rules or through modification of existing rules
Maintains cross reference to contractual guidelines
Develops and maintains procedures related to investment guideline codification process
Provides vendor / platform leadership and serves as a technical escalation point to Charles River for compliance related functionality

Partners with Charles River product and support teams to evaluate platform releases, manage upgrades, and onboard new functionality

Assist in root‑cause analysis for compliance events and trading issues, including “why did this violation occur” investigations.

Assist in control audits to demonstrate adherence to stated policies and procedures related to codification of guidelines 

Qualifications

A bachelor’s degree in computer science, finance or accounting is required.
CFA or CFA Candidate a plus
Five or more years of experience working in the investment industry
Experience codifying and monitoring investment guidelines utilizing a trading and compliance system (Charles River preferred)
Solid understanding of investment accounting systems and an understanding of fixed income and equity data attributes that contribute to rule codification
Relational database and SQL querying knowledge
Proven ability to support business‑critical systems in a regulated environment

Strong problem-solving skills that apply an analytical approach to diagnosing and resolving complex system issues

Work effectively across business and technology teams

Experience with the Charles River Trading and Compliance Platform highly preferred

About US

For more information about NEAM please visit our website at www.neamgroup.com.

NEAM is a wholly owned subsidiary of General Re Corporation, which is a subsidiary of Berkshire Hathaway Inc. NEAM has developed proprietary decision-making tools and specialized services enabling the delivery of asset and capital management solutions to clients within the context of evolving regulatory, accounting and tax issues faced by insurance companies today.**

The firm’s culture is team oriented, collaborative, transparent, and intellectually curious.
We currently offer a hybrid schedule with M/F remote and T/W/TR in the office in Farmington, CT. 
**NEAM does not offer tax/legal advice.
It is the continuing policy of New England Asset Management to afford equal employment opportunity to all employees and applicants for employment without regard to race, color, sex (including childbirth or related medical conditions), religion, national origin or ancestry, age, past or present disability, marital status, liability for service in the armed forces, veteran status, citizenship, sexual orientation, gender identity, or any other characteristic protected by the applicable law. In addition, New England Asset Management provides reasonable accommodation for qualified individuals with disabilities in accordance with the Americans with Disabilities Act.