Investment Compliance Cover Letter

I submit this application to express my sincere interest in the investment compliance position.

In the previous role, I was responsible for independent, clear and proactive communication of investment risk and performance to client teams, regulators, boards and to internal.

Please consider my qualifications and experience:

• Develop a risk mitigation strategy and manage the risks, under the overall guidance of the project manager
• Evaluate financing and funding structures and make recommendations for effectiveness and efficiencies
• Ensure the applicable legal regulations are properly followed for the lifecycle of all investments
• Provide comprehensive risk, legal, and ESG assessment and analysis of potential pipeline investments
• Excellent knowledge of the FCA Handbook
• In depth knowledge of Canadian securities laws and regulations, including derivatives trading rules
• Experience with industry vended compliance monitoring systems such as Charles River, Bloomberg POMS, RCB Dexia, and/or Mutual Fund
• Able to effectively drive solutions throughout the organization and present ideas in an effective, non-confrontational manner

I submit this application to express my sincere interest in the investment compliance position.

In my previous role, I was responsible for standard reporting on investment data (investment compositions, characteristics, and attribution for both portfolios and benchmark indices) to internal and external customers.

Please consider my experience and qualifications for this position:

• Knowledge of French language will be an additional asset
• Knowledge and experience with Microsoft Software suite of products
• Very strong analytical, organizational and interpersonal skills
• Able to work successfully in both an independent and team environment
• Able to work under pressure and manage several deadline-oriented projects simultaneously
• To support the production of the regular timetabled compliance reporting outputs and to support the Compliance needs of the clients who take this service from NT
• Demonstrated experience working with buy-side Order Management Systems
• Professional Designation/Certification

I would like to submit my application for the investment compliance opening. Please accept this letter and the attached resume.

Previously, I was responsible for compliance support to the Macquarie Investment Management (MIM) teams in Europe and assist with regulatory issues relating to fund distribution and institutional fund management.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Experience with investment advisor regulations under the securites exchange commissions
• Familiarity with the Investment Advisers Act of 1940 and FINRA/SEC rules and interpretations
• Possess in depth knowledge of FINRA and broker dealer state regulations
• IACCP Designation
• Exposure to ERISA
• Form ADV exposure to drafting and/or developing
• Strong PC skills, including proficiency in Excel spreadsheet, macro and database applications
• Solid understanding of wide range of investment styles, strategies and security types

Please consider me for the investment compliance opportunity. I am including my resume that lists my qualifications and experience.

In my previous role, I was responsible for trade support and execution functions for private investment funds, including monitoring internal and external teams to ensure accurate and timely execution;.

Please consider my experience and qualifications for this position:

• Experience in investment firm, consulting or advisory firm
• Understanding of AI industry strongly preferred
• Experience in AI evaluation, oversight, custody or operations strongly preferred
• Experience in conducting initial and ongoing due diligence on investment advisors and funds, including private funds strongly preferred
• Investment experience at a foundation preferred
• Aptitude and passion for learning complex, new material
• A deep understanding of investment guidelines and financial instruments
• Authorisation to work in Luxembourg

I would like to submit my application for the investment compliance opening. Please accept this letter and the attached resume.

In the previous role, I was responsible for valuable guidance and 360° impact analysis of compliance requirements effect on investment operations, trader workflow and portfolio management.

My experience is an excellent fit for the list of requirements in this job:

• Prior work with client investment guidelines and investment management agreements is essential
• Practical rules coding and testing experience with an industry standard compliance platform such as Bloomberg AIM, Aladdin, Charles River, Sentinel, or thinkFolio is essential
• General knowledge of financial markets and of financial products
• Strong knowledge of Microsoft Outlook, Excel and PowerPoint
• Strong and enthusiastic team player with excellent communication skills as the incumbent will work very closely with key internal stakeholders and have the skills to understand the requirements of each
• Technical background on Investment Banking Products (M&A, DCM, ECM) and related regulations
• Team oriented with excellent interpersonal and analytical skills
• University graduate with major in Accounting and / or Finance