Compliance Analyst (Guidelines and Restrictions)

Sands Capital

The Guidelines and Restrictions Compliance Analyst will use subject matter expertise to perform, analyze, and/or facilitate specific components of the compliance program. This person will work independently and with team members to administer the investment guideline program, leveraging technical, communication, and critical thinking skills.

Position Responsibilities:

Monitoring Client Guidelines and Restrictions: The Guidelines and Restrictions Compliance Analyst interacts with the Trading, Investment Operations, Technology, Investment and Client Services teams on a regular basis to ensure client portfolios are managed in accordance with contractual and regulatory requirements. Specific responsibilities include:

• Thoroughly and thoughtfully reviewing and implementing client guidelines and restrictions and collaborating with teammates on the basis for the resulting automated rules or manual reviews;

• Researching potential pre-trade and post-trade guideline breaches swiftly and escalating issues, concerns, results, and recommended actions as needed;

• Consistently and successfully monitoring automated portfolio guidelines and restrictions as well as manual processes where required. Escalating issues and recommending solutions promptly;

• Preparing and responding to client certifications and reporting regarding client portfolio guidelines in a thoughtful and timely manner;

• Collaborating with teammates to develop effective forensic testing for client guidelines and restrictions;

• Maintaining written policies and documentation related to client guideline monitoring and processes;

• Assisting the Sr. Compliance Analyst with various obligations related to liquidity monitoring, reporting and stress testing;

• Executing other administrative or professional responsibilities, as needed; and

• Exhibiting behaviors consistent with Sands Capital’s mission, values, and culture

Additional responsibilities include:

• Executing on quarterly forensic testing of compliance policies and procedures;

• Coordinating liquidity monitoring and reporting;

• Assisting in mock SEC exams;

• Assisting in compliance responses to the annual SOC Audit;

• Assisting in the production and completion of the annual CCO report;

• Assisting in the productions of compliance attestations related to guidelines and restrictions; and

• Assisting in the review and production of compliance policies and procedures and ensuring that regulatory policies are kept up to date.

Skills and Qualifications:

• Bachelor’s degree required

• 5-7 years of relevant compliance experience at an investment management firm

• Experience with and understanding of client guideline monitoring processes

• Working knowledge of the Investment Advisers Act and Investment Company Act

• Working knowledge of rule building within the compliance engine of an order management system required (Linedata preferred)

• Microsoft Office skills (Excel, PowerPoint, Word, etc.)

• Highly analytical with strong critical thinking skills

• Ability to provide compliance guidance that balances regulatory requirements, risk mitigation and business objectives

• Experience with Irish UCITS Funds preferred

• Experience with FactSet preferred

• Knowledge of international investments preferred

Values for Success at Sands Capital:

• Focus: Identify and concentrate on “what matters”

• Long-Term Perspective: Appreciate that time allows sound decisions to demonstrate their worth. Avoid short-term thinking

• Independent Thinking: Have the courage to develop and articulate your own convictions. Debate others openly and honestly

• Teamwork: Collaborate to gather facts, develop perspective, build conviction, and support timely decision-making

• Positive “Can-Do” Attitude: Demonstrate a willingness to tackle any task

• Graciousness: Reflect kindness and courtesy at all times

• Balance: Enjoy your work while balancing professional activities with interests beyond the firm

• Meritocracy: Know that talent and achievement will drive your success at Sands Capital

Values for Success in this Role:

• Self-directed individual that embraces continuous improvement to enhance current processes and controls

• Collaborative and energized by the open exchange of ideas

• Able to operate with a growth mindset

• Analytical with strong research and critical thinking skills

• Learning agile, able to adapt quickly and appropriately

• Conscientious and able to handle confidential and sensitive information with discretion

• Results-oriented with a strong sense of accountability

• Able to deliver feedback in a timely and constructive manner

• Able to work independently with a high degree of efficiency and accuracy

• Able to effectively prioritize and coordinate work across multiple team members