Analyst, Investment Policy

About the role

RBC Global Asset Management is seeking an Investment Policy Analyst to join our U.S. team. This role serves as a critical control function, ensuring investment activities comply with regulatory requirements and internal investment guidelines.

Responsibilities

• Support Director, Investment Policy and Investment Policy Manager with the design and implementation of RBC BlueBay’s investment policy strategy and framework;
• Provide practical guidance on global regulatory investment restrictions including but not limited to Luxembourg UCITS, US 1940 Act and Canadian NI 81-102;
• Manage Charles River Investment Management System “CRIMS” and rules monitored outside “CRIMS.” Including daily portfolio, pre and post trade alert management;
• Onboard new funds with specific focus on negotiation of clear investment guidelines and subsequent relevant monitoring capabilities;
• Advising on the resolution of investment guideline breaches and trading issues. Ensuring breaches are addressed promptly and controls are reviewed and, where relevant, enhanced to mitigate the risk of recurrence;
• Advise investment teams on how to strengthen controls that remain outside of CRIMS to minimize the number of breaches and reduce incidents and errors;
• Advise investment teams on regulatory and client guideline restrictions;
• Responsible for the management of RBC BlueBay’s CRIMS rule library, including Charles River guideline coding and periodic Accuracy and Completeness reviews;
• Develop management information and KRIs for Director, Investment Policy and Investment Policy Manager to monitor emerging risks within RBC BlueBay’s portfolio management and trading activities;
• Support ongoing business development of CRIMS and advise on practical application of system enhancements and upgrades;
• Manage communications from administrators and segregated clients in relation to portfolio investment guidelines;
• Engage in completing annual audit, including providing and ensuring accuracy of all evidence and controls;
• Best Execution monitoring, performing daily trade analysis and assisting with quarterly reporting of trade data;
• Periodically assist the business by performing trade rebooking and booking new order flow to ensure accurate and timely trade life cycles.

Requirements

• Must-have: Bachelor’s degree preferably in a related field such as finance, economics, or accounting; 0-3 years of experience in investment policy/compliance, operations, or related role within asset management; Basic understanding of fixed income fundamentals, including bond mathematics, duration, yield curves, and credit spreads;
• Nice-to-have: Understanding of some regulatory frameworks, such as ERISA, SEC, Volcker and Investment Company Act of 1940; Proficiency with Charles River Investment Management System; On track towards obtaining a CFA designation.

Qualifications

• Must-have: Bachelor’s degree preferably in a related field such as finance, economics, or accounting; 0-3 years of experience in investment policy/compliance, operations, or related role within asset management; Basic understanding of fixed income fundamentals, including bond mathematics, duration, yield curves, and credit spreads;
• Nice-to-have: Understanding of some regulatory frameworks, such as ERISA, SEC, Volcker and Investment Company Act of 1940; Proficiency with Charles River Investment Management System; On track towards obtaining a CFA designation.

Skills

• Critical Thinking;
• Detail-Oriented;
• Financial Planning and Analysis (FP&A);
• Financial Services Industry;
• Fund Analysis;
• Information Capture;
• Investment Banking Analysis;
• Investment Performance Measurement;
• Investment Risk Management;
• Investments Analysis.

Benefits

• We offer a comprehensive Total Rewards Program including competitive compensation and flexible benefits such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• We provide opportunities for professional development through coaching and managing opportunities.
• We foster a dynamic, collaborative, progressive, and high-performing team environment.
• We offer opportunities to make a difference and build close relationships with clients.

Pay

The expected salary range for this position is $70,000-$120,000, depending on experience, skills, and registration status, market conditions, and business needs. Qualified applicants may be considered for additional compensation through RBC's discretionary variable compensation program.

Schedule

Full-time position with 40 hours per week.

Location

Address: 750 WASHINGTON BOULEVARD:STAMFORD
City: Stamford
Country: United States of America