Investment Compliance Analyst Resume Example

Senior Investment Compliance Analyst · Northern Trust Asset Management

Chicago, IL · 2020 - Present

• Developed and implemented automated compliance rules using Python and SQL, reducing manual review time by 30% for complex trading strategies.
• Led data analysis projects for regulatory reporting (e.g., Form ADV, Form PF), ensuring 100% accuracy and timely submission for over $1.2 trillion in AUM.
• Provided compliance oversight for alternative investment funds, including private equity and hedge funds, navigating AIFMD and Dodd-Frank requirements.
• Conducted quarterly risk assessments for investment strategies, identifying and mitigating 15+ potential compliance breaches annually.
• Collaborated with RegTech vendors to integrate new surveillance tools, improving detection capabilities for market abuse and insider trading by 25%.

Investment Compliance Associate · BMO Harris Bank

Chicago, IL · 2017 - 2020

• Monitored daily trade activities for adherence to client mandates and regulatory restrictions (e.g., 1940 Act, UCITS), processing an average of 500 transactions daily.
• Assisted in the preparation of regulatory filings and disclosures, contributing to the successful completion of 20+ annual and quarterly reports.
• Performed data extraction and analysis for internal audits and external examinations, ensuring zero material findings in two consecutive SEC audits.
• Collaborated with portfolio managers to interpret and apply new regulatory guidance, advising on compliance impact for 30+ investment portfolios.

Master of Science in Financial Engineering · Illinois Institute of Technology

Chicago, IL · 2020 - 2022

• Specialization in Quantitative Finance and Risk Management
• Completed thesis on Machine Learning Applications in Regulatory Compliance
• 4.0/4.0 GPA

Bachelor of Science in Finance · University of Illinois Urbana-Champaign

Champaign, IL · 2013 - 2017

• Graduated Cum Laude
• Relevant Coursework: Financial Accounting, Investments, Derivatives, Econometrics
• 3.7/4.0 GPA

Investment Compliance Analyst · Nuveen

Chicago, IL · 2023 - Present

• Monitored investment activities for over $1.3 trillion in assets under management, identifying and escalating 10+ potential compliance breaches monthly, preventing regulatory fines.
• Authored and reviewed marketing materials for adherence to SEC Rule 206(4)-1 (Marketing Rule) and FINRA communications guidelines, approving 95% of submissions within a 24-hour SLA.
• Contributed to the development and implementation of new compliance policies for AI-driven investment strategies, reducing potential risk exposure by an estimated 15%.
• Provided specialized guidance on UCITS directives and AIFMD regulations for European fund distribution, facilitating compliant entry into 3 new markets.

Investment Compliance Analyst · William Blair

Chicago, IL · 2021 - 2023

• Conducted daily pre-trade and post-trade compliance checks for institutional portfolios totaling $70+ billion, identifying and resolving over 50 rule violations per quarter.
• Assisted in preparing and submitting regulatory filings (e.g., Form ADV, Form PF) to the SEC, ensuring 100% on-time submission and accuracy for 2 consecutive years.
• Developed and maintained compliance dashboards using Tableau, reducing manual reporting time by 20% and improving visibility into key risk indicators.
• Provided training to 30+ investment professionals annually on evolving SEC and FINRA regulations, enhancing firm-wide understanding and adherence.

Financial Operations Analyst · Northern Trust

Chicago, IL · 2018 - 2021

• Analyzed and reconciled complex financial transactions across multiple systems, processing an average of 200+ transactions daily with 99.8% accuracy.
• Identified and resolved discrepancies in financial data exceeding $50,000, preventing potential losses and improving data integrity for reporting.
• Streamlined end-of-day reconciliation processes, reducing daily close time by 15% through automation of routine data validation checks.
• Collaborated with IT to test and implement system enhancements, resulting in a 10% reduction in manual data entry errors and improved operational efficiency.

Bachelor of Science in Finance · University of Illinois Urbana-Champaign

Urbana, IL · 2014 - 2018

• Graduated Magna Cum Laude with a GPA of 3.8/4.0
• Recipient of the College of Business Dean's List for all semesters
• Relevant coursework included Investment Analysis, Financial Risk Management, and Corporate Finance