Investment Compliance Analyst: Rules Engineer

Smith Arnold Partners; Connecticut; Hybrid; USD 145,000 - 165,000; Full time

Job summary

Smith Arnold Partners in Hartford, CT is seeking an Investment Accountant to join a high-visibility team supporting its Charles River Trading & Compliance platform. You will work with portfolio managers, trading, compliance, operations, and technology to translate investment guidelines into enforceable rules.

The role emphasizes building and maintaining the rules that govern client portfolios, with exposure to senior leadership and clients, and opportunities for long-term career stability.

Qualifications

• 5+ years of experience as an Investment Accountant within investment management or asset management or Insurance industry
• Strong experience working with investment guidelines, investment data, compliance monitoring, or portfolio restrictions
• Experience with the Charles River Trading & Compliance Platform or similar trading platform
• Strong understanding of fixed income and equity securities, investment terminology, ratings, sectors, and portfolio attributes
• Ability to interpret IMAs and translate investment mandates into system-based compliance rules
• SQL and relational database knowledge preferred
• Strong analytical and problem-solving skills
• Experience supporting business-critical systems within regulated financial environments
• Excellent communication skills with the ability to work across business and technology teams
• Bachelor’s Degree in Finance, Accounting, Computer Science, or related field required
• CFA or CFA Candidate is a plus

Responsibilities

• Analyze Investment Management Agreements (IMAs) and client mandates to interpret investment guidelines and restrictions
• Translate complex investment requirements into logical rule structures and compliance workflows within Charles River
• Develop, modify, test, and maintain compliance rules supporting pre-trade and post-trade monitoring
• Work closely with Portfolio Managers, Compliance, Trading, and Technology teams to support daily investment compliance operations
• Investigate compliance exceptions and trading issues, including root-cause analysis and “why did this violation occur” reviews
• Partner with Charles River support and product teams on upgrades, releases, enhancements, and issue resolution
• Identify and source required investment and accounting data needed for accurate rule codification
• Maintain documentation, procedures, and cross-references tied to contractual investment guidelines
• Support audit and control processes related to investment compliance and guideline management
• Serve as an important escalation point for compliance-related Charles River functionality and workflow issues

Skills

Investment accounting

Investment guidelines

Analytical skills

Communication skills

Problem solving

Cross-functional collaboration

Education

Bachelor's Degree in Finance, Accounting, Computer Science, or related field

CFA or CFA Candidate

Tools

SQL

Job description

Smith Arnold Partners in Hartford, CT is seeking an Investment Accountant to join a high-visibility team supporting its Charles River Trading & Compliance platform. You will work with portfolio managers, trading, compliance, operations, and technology to translate investment guidelines into enforceable rules.

The role emphasizes building and maintaining the rules that govern client portfolios, with exposure to senior leadership and clients, and opportunities for long-term career stability.