Senior Systems Compliance Analyst

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