The Senior Investment Compliance Analyst will be a member of TCW's Portfolio Compliance team that provides compliance support to our investment teams, as well as other functions within TCW. Specifically, this individual will be responsible for thoroughly testing new and modified rules in the compliance monitoring system; and will have responsibility for monitoring current holdings and daily trading activity against client guidelines, restrictions, internal policies/procedures, and relevant regulatory requirements.

Undertake special compliance-related projects that will drive the design and implementation of enhanced compliance rules and workflows to ensure adherence to client directives and regulatory requirements. This will require candidate to:
• Build and develop strong relationships with business partners and other corporate colleagues
• Identify ways of creating efficiencies through the improvement of rules coding & automating processes in the Investment Compliance program using best practices
• Partner with IT-Trading & Compliance team and others within Investment Compliance to thoroughly develop and implement comprehensive rule testing process, and lead the testing and approval of new and modified rules in the compliance monitoring system
• Collaborate with Guideline Compliance, Data Management, and IT-Trading & Compliance teams to analyze and request new data requirements to support new and modified guideline requirements
• Work with Portfolio Management, Trading, Data Management and others within Investment Compliance to determine trade suitability, review daily trading activity, and identify and resolve any associated compliance issues
• Review daily portfolio compliance results, identify and resolve any active or passive compliance issues. Some of this activity requires manual processing.
• Identify and resolve any issues/concerns with investment guideline interpretation and coding
• Working knowledge of governing documents, including but not limited to Investment Management Agreements (IMA), Prospectuses, Statement of Additional Information (SAI), and Fund Declarations
• Effectively participate in internal and external audits of controls and associated testing

• Bachelor's degree 5+ years of relevant experience, including knowledge and use of Charles River Investment Management System (CRD), or equivalent experience with other compliance monitoring applications
• Experience and knowledge of Investment Compliance rule construction, including the identification and implementation of incorporating new data requirements
• Working knowledge and understanding of capital markets; experience with fixed income, equity and derivative instruments
• Basic knowledge of the Investment Company Act of 1940, UCITs, and other regulatory requirements
• Excellent verbal and written communications skills
• Proficiency in Bloomberg and other major software applications

• A self-starter who takes initiatives
• Ability to work independently, but willing to contribute to team projects and collaborative efforts, as needed
• Strong analytical skills with excellent attention to detail
• Excellent organizational skills and the ability to prioritize multiple requests from a variety of sources

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