Investment Compliance Analyst
Responsible for assisting in the administration of all aspects of Investment Compliance including, but not limited to: fielding Know Your Customer (KYC) due diligence requests, preparing regulatory filings and internal compliance reporting, testing and monitoring investment guidelines, conducting reviews of new trading counterparties, supporting insurance statutory deposit program, and performing periodic reviews of bank access and trading authorities.
- Respond to routine KYC requests from trading and banking counterparties as part of Anti-Money Laundering (AML) due diligence process
- Assist with creating and implementing best practices related to KYC responsibilities including request tracking and reporting, documentation, and developing standardized responses and techniques to be used when engaging with counterparties.
- Conduct daily, monthly, and quarterly monitoring to ensure adherence to the firm's investment guidelines and regulatory requirements across 100+ insurance portfolios.
- Daily pre/post trade review via compliance monitoring platform.
- Create new compliance tests and review existing test setups of pre/post trade compliance rules.
- Assist in supporting insurance statutory deposit program for 60+ domestic insurance companies across 36 states including performing routine security deposits and withdrawals.
- Assist in the management of bank access and trading authorization for individuals at the firm.
- Complete periodic regulatory filings, including 13H, 13F, and NAIC ratings filings.
- Assist with implementing best practices and process improvements related to above responsibilities.
- Four-year college degree required with major in Finance or equivalent preferred.
- Prior experience in the securities industry with an understanding of investment compliance and accounting/back office practices.
- Experience with front office trading systems is preferred.
- Excellent organizational, interpersonal, and communication skills.
- Dependability, attention to detail, ability to follow/interpret procedures, and employ reason to accomplish non-routine tasks and duties.
Advance your at Liberty Mutual Insurance – a Fortune 100 Company!
Liberty Mutual Investments (LMI) manages Liberty Mutual Insurance Group's (LMIG) global financial assets across global and private domains to build capital and generate income. With over $100 billion in AUM and staffed with 250-plus investment, finance and operationsprofessionals located in Boston, Mass., we offer the best of both worlds -— the look and feel of a boutique investment firm and the reputation and financial strength of a global leader.
LMI has been on a transformation path to spur innovation, capitalize on deep expertise, and scale its returns on long-term flexible capital through a “one firm, one portfolio, one team” mindset. Our operating model is built on three pillars: centralized portfolio construction, asset management and investment-enabling services. The teams are structured as Investment business units (IBUs), working in concert: Strategy & Asset Allocation, Risk Management, Global Fixed Income, Global Partnerships & Innovation and Investment Enabling Services (IES). Our portfolio spans a broad spectrum of public and private asset classes, and we are committed to expanding our capabilities and our toolkit in furtherance of our mission.
LMIG is proud to be recognized for a second time in 2019 as a Best Workplace for Diversity by Fortune magazine and as a Great Place to Work
We value your hard work, integrity and commitment to positive change. In return for your service, it's our privilege to offer you benefits and rewards that support your life and well-being. To learn more about our benefit offerings please visit: https://lmi.co/Benefits
Liberty Mutual is an equal opportunity employer. We embrace an environment that is free from all discrimination in the workplace, in our business, or by our vendors. Liberty Mutual values diversity and the differences and similarities of our employees. We foster a diverse and inclusive work environment that leads to better ideas, stronger teams and more creative products and services for our customers.
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