Investment Compliance Resume Sample
Jena Schuster
1566 Jacobi Turnpike,
San Francisco,
CA
+1 (555) 902 4393
Work Experience
Investment Compliance Specialist
04/2018
-
PRESENT
Philadelphia, PA
- Compliance experience with a FINRA-registered broker/dealer
- Demonstrated experience in writing reports
- Communicate effectively both written and verbally with all levels of management
- Knowledge of FINRA and SEC securities regulations
- Review advertising materials to ensure that the meet firm policy and regulatory requirements
- Play a key role in regulatory examinations and investigations by conducting research and interacting with sales managers and registered representatives to obtain necessary information
- Develops partnerships and open lines of communication with applicable business units
Investment Compliance Analyst
01/2015
-
03/2018
Philadelphia, PA
- Participate in the development and review of the Fund's investment guidelines. Develop comprehensive investment compliance tests and compliance monitoring controls to be followed by the Fund's investment advisors and custodian
- Manage and oversee the post-trade portfolio compliance monitoring of the Fund, including reviewing compliance reporting and analyzing investment compliance and regulatory issues impacting the Fund, and promptly communicating with the appropriate parties within and outside of the organization
- Prepare materials and reports necessary to ensure that management and the Fund’s Board stays informed on the Fund's portfolio compliance and foreign markets taxation compliance matters
- Work with the Fund’s custodian and local country tax advisors, and monitor third-party processes responsible for preparation, review, and timely and accurate filing of all Fund-level foreign markets tax compliance matters, including reports and tax returns to ensure compliance with foreign country income withholding and reclaim requirements
- Assists in maintaining records and compiling information requests in support of AUIM’s compliance program
- Assist in checking funds’ investment restrictions are complied with and in line with statutory regulations and Prospectus limits
- Validate/ensure set-up of the investment restriction rules in the compliance system is correct and in line with regulations/investment policy applicable to the funds under control
- Liaise with clients to discuss/follow up until resolution potential investment restriction breaches
- Ensure fiduciary oversight programmes are completed in a timely and accurate manner and that they adhere to the applicable regulations (principally AIFMD/UCITS)
Investment Compliance Officer
05/2011
-
09/2014
Philadelphia, PA
- Provide support to internal and external clients and participate in projects and new business launches
- Assist with the ongoing maintenance of the adviser’s compliance program, including updates to the policies and procedures
- Preparation of the Clients Communication including reports for the Funds’ Governing Bodies
- Participate to Business Development projects
- Advises Chief Compliance Officer of: problem situations and recommends corrective actions, new statutes and regulations affecting AUIM and recommends procedures for implementing such new statutes and regulations; and process or procedure improvements and recommends procedures for implementing revised processes or procedures
- Maintains and updates internally developed SEC Audit Manual
- Develops and presents annual Code of Ethics and Insider Trading Policy presentation along with any other educational presentations needed to inform AUIM personnel of policy or procedure changes
- Performs compliance reviews and monitoring
Education
Eastern University
2005 - 2010
Bachelor's Degree in Business
Professional Skills
- Strong verbal and written communication skills. Strong analytical and problem solving skills
- Proven supervisory/managerial experience with strong organizational, oral and written communication skills
- Advanced Excel, ideally including VBA. SQL and database skills, along with Microsoft Access and PowerPoint skills desirable
- Strong systems application and software skills, including Microsoft Access and Excel
- Extremely detail oriented with strong organizational and follow-through skills
- Possess strong interpersonal, communication, and time-management skills
- Strong interpersonal and communication skills; ability to interact with all levels of management
How to write Investment Compliance Resume
Investment Compliance role is responsible for analysis, microsoft, analytical, research, software, database, excel, powerpoint, access, securities.
To write great resume for investment compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Investment Compliance Resume
The section contact information is important in your investment compliance resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Investment Compliance Resume
The section work experience is an essential part of your investment compliance resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous investment compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular investment compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Investment Compliance resume experience can include:
- Effective analytical abilities are required, including solid research skills and the ability to recommend solutions from that analysis
- Have outstanding analytical and problem solving skills
- Demonstrated experience working with buy-side Order Management Systems (i.e. CRD, Thinkfolio, Eze Castle, BlackRock Aladdin, Bloomberg AIM, etc.)
- Presentation skills are required as is the ability to present comfortably before a small group
- Experience of regulatory compliance experience in asset management industry required
- Prior experience in financial services or investment management industry
Education on an Investment Compliance Resume
Make sure to make education a priority on your investment compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your investment compliance experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Investment Compliance Resume
When listing skills on your investment compliance resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical investment compliance skills:
- Strong investigative/problem solving skills
- Good written and verbal communication skills, with the ability to form relationships at all levels of the organization
- Excellent organizational skills and the ability to work in a high pressure, fast paced environment
- Project planning skills including MS Project
- Proficient in Microsoft Word, Excel and PowerPoint with accurate typing skills
- Some management experience, or a desire to obtain management experience
List of Typical Experience For an Investment Compliance Resume
1
Experience For Investment Compliance Manager Resume
- Demonstrated experience in Asset Management Compliance, Audit Controls, Risk or Legal
- Five years compliance or audit experience, or five years securities related experience
- Complete understanding of different security types (Equity and Fixed Income); with some derivatives experience
- Solid knowledge and understanding of a trading lifecycle
- Solid knowledge and understanding of investment products and securities regulation
- Devise and implement effective AML, CRS and FATCA compliance programs
- 8 – 10 years relevant experience in compliance, internal audit/controls and/or risk management within financial institutions
- Experience of regulatory rules and restrictions specific to the Investment Company Act of 1940 and Investment Advisers Act of 1940
- Leading and participating in IT projects, most notably in MIM’s implementation of Blackrock’s Aladdin portfolio management system
2
Experience For Investment Compliance Specialist Resume
- Providing internal and external audit support
- Working knowledge of security types and investments
- Perform other tasks, such as maintaining compliance checklists and approved broker lists, as necessary, and maintaining departmental files
- Fund and client account set up, on-boarding, and ongoing management in respect of investment compliance obligations
- In-depth knowledge/understanding of rule coding, workflow processes
3
Experience For Investment Compliance Analyst Resume
- Proficient at using the following software applications: Bloomberg, Aladdin, WSO
- Identify gaps and assisting the business to achieve compliance if applicable and provide quality documentation of monitoring reviews undertaken
- Responsible for overseeing daily Overnight Compliance on internally and externally managed separate accounts, and addressing any violations in a timely manner
- Prepare communications including reports to clients and auditors
- Support the team in the major integration project to support the migration of Fund Administration operations to the target operating model
- Daily review of fund trading to identify compliance concerns and violations
- Respond to inquiries from Access Persons, Portfolio Managers and subadvisors regarding compliance policies and procedures
4
Experience For Consultant, Investment Compliance Resume
- Assist in the development and presentation of compliance training sessions
- Oversight and ongoing assurance of investment guideline set up and rule build integrity
- Lead the effort to satisfy internal and external information requests regarding Investment Management procedures, processes, and due diligence documentation
- Draft new procedures and updates existing procedures for Investment Management as needed
- Prepares internal and external compliance reports
5
Experience For Director, Investment Compliance Resume
- Be proficient in written Chinese and English, spoken English, Cantonese and Mandarin
- Knowledge of investment industry and international financial markets
- Work under stress and meet tight deadlines
- Assist the Director in the preparation of Board Reports and audit response documents
- Assist in the preparation of materials for quarterly compliance committee meetings including standard and ad hoc reports on relevant compliance and other related matters
6
Experience For Investment Compliance Officer Resume
- Liaise with Legal and senior management team to resolve APs’ policy related problems
- Direct Liaison for Audit Requests
- Investment Compliance departments in London, Hong Kong and Japan
- Institutional business, Client Service Managers and Relationship Directors
- Legal, Business Compliance, Risk and other oversight functions
- Assists in researching IPOs, private placements and corporate actions and providing interpretive guidance on selling and transfer restrictions as they relate to the firm’s global client base; including safe harbours from US Securities law and relevant laws/regulations in other jurisdictions
- Ensuring appropriate policies and procedures are followed to comply with local conduct of business rules
- Collaborating with the Compliance Manager to develop and enhance procedures for the business to ensure compliance with regulatory or market developments. Documenting and administering procedures as required
7
Experience For AVP, Investment Compliance Resume
- Have good knowledge of the investment funds industry and securities market
- Paralegal certificate or equivalent college-level coursework
- Day-to-day responsibilities for the Compliance Analyst system component include reviewing client investment guidelines, setting up the guidelines on the Compliance Analyst system, testing to ensure desired output, ongoing client servicing and attend meetings as required by clients or internal partners
- Day-to-day responsibilities also include reviewing all triggered messages, investigating the output and notifying the client of any true violations
- Support Expert Network compliance oversight
- Support Soft Dollar/MiFID II compliance oversight
- Assist with the review and resolution of trade errors
8
Experience For Intermediate Investment Compliance Officer Resume
- Assist with the development and roll out of trade surveillance reports
- Review affiliated trade reports
- Consult and partner with the Corporate Technology Group in the implementation of new processes and enhancements to existing pre- and post-trade compliance monitoring, reporting, and trading systems. Participate in projects that promote the consistent application of investment-specific data across the enterprise
- Review and maintain inventory of RFP responses
- Perform daily oversight of investment fund net asset value calculations and ensure net asset values pass all quality tests timely and accurately
- Monitor compliance of portfolios and individual financial instruments with the legal, constitutional and contractual provisions
- Prepare regulatory notifications and related impact calculations in case of Active breaches and NAV errors
- Contribute to the continuous enhancement of our state-of-art fund control environment
9
Experience For Head of Investment Compliance Resume
- Review and/or prepare compliance reports in accordance with departmental calendar to ensure and document that each investment portfolio is managed in accordance with the fund’s shareholder documents and the firm’s policies and procedures, and in compliance with applicable securities laws and regulations
- Assist in the maintenance and update of the firm’s compliance policies and procedures
- Assist in administering the Code of Ethics by preclearing, documenting and analyzing the personal securities trading activity of the firm’s Access Persons
- Perform due diligence oversight of the Funds’ subadvisors and other service providers
- Perform special audits and reviews as assigned for the annual compliance review and report
- Attend and prepare minutes of various committee meetings
10
Experience For Investment Compliance & Global Data Maintenance Departments Manager Resume
- Assist in the preparation of compliance reports to management and the Board of Trustees
- Participate as assigned in projects related to new regulatory initiatives
- Some travel required – Edison office and fund service providers
- Lead and manage the MIM Americas Investment Compliance function, responsible for investment guideline monitoring, the analysis and resolution of investment compliance breaches, root cause assessment, and incident reporting
- Ad-hoc management of daily investment compliance issues, including liaising with key stakeholders such as traders, portfolio managers, client service teams, and the firm’s regulatory compliance team
List of Typical Skills For an Investment Compliance Resume
1
Skills For Investment Compliance Manager Resume
- Good command of Microsoft Excel; familiarity with MIG21 and/or GP3 is a strong asset
- Previous experience with MIG21 or GP3 is a strong asset
- Outstanding analytical and problem solving skill
- Experience operating and managing an investment compliance, portfolio management, or trading system. Detailed knowledge of Bloomberg
- Solid working knowledge of Excel, NT tools, i.e., Reporting, Sherlock, Fundmaster
- Experience as a senior member or leader of an investment guideline monitoring function, risk management function, trading, or portfolio management function
- Responsible, logic thinking, good analytical ability, leadership
- Motivated to provide a high level of client service in order to produce a quality product and a strong client reference
- Experience with any pre-trade compliance or portfolio management system (such as Bloomberg, Charles River, Blackrock Aladdin, etc.)
2
Skills For Investment Compliance Specialist Resume
- Experience in the financial sector or with a top auditing company
- Compliance experience with a FINRA-registered broker/dealer
- Very good knowledge of WpHG and KAGB
- Very good knowledge of standard MS Office applications, especially Excel
- Very good knowledge of financial instruments and their functionality
- 2 + yrs compliance and/or operations experience with an investment adviser, investment company or similar related entity
- Market and credit risk experience, ideally with a quantitative perspective
- The ability to interpret information quickly, apply strong attention to detail, and work under time pressure
3
Skills For Investment Compliance Analyst Resume
- Excellent spoken and written English ability
- Assisting in investigating investment guideline breaches and ensuring the appropriate actions are taken to resolve breaches
- Liaising with partners in E2 who support NIR asset coding in Trust Servicing
- Supporting the tracking and measuring of the Compliance Dashboard
- Balancing current and future issues/needs in developing solutions to complex business issues
- Staying abreast of constantly changing regulatory environment
- Educating investment professionals on their responsibilities associated with the NIR coding process
- Understanding of US and/or Japan Insurance Regulations
- Assisting in the set up of limit guidelines in Dimension and thinkFolio for new funds and portfolios
4
Skills For Consultant, Investment Compliance Resume
- Conducting ad-hoc risk reviews
- Assisting in the maintenance and quality assurance of the investment compliance processes; and
- Willing to travel to Wall Street office, the offices of service providers, and conferences as required
- Executing on No Investment Responsibility documentation responsibilities
- Communicating with front office partners to ensure all client NIR tickets are submitted and completed within specific timeframes
5
Skills For Director, Investment Compliance Resume
- Supporting eRM maintenance cases for No Investment Responsibility assets
- Documenting completion of in-scope processes
- Executing on special project work
- Understanding SEC and IRS rules
- Assisting in the development of compliance tests both on- and off-line
- Maintaining appropriate documentation and files; and
- Performing daily investment compliance and monitoring of the trading activities of the Investment Management portfolio's in an accurate and timely manner
6
Skills For Investment Compliance Officer Resume
- Daily compliance support of 1940 Act and CIT Fund clients, including reviewing and analyzing automated monitoring and performing manual tests
- Work with the London and Boston Team for coverage of the trading desk in Boston when needed (including working during Boston hours)
- Daily compliance support of 1940 Act and CIT Fund clients, including reviewing automated monitoring and performing manual tests
- Pre- & Post Trade monitoring, including breach investigation and logging in the incident reporting System
- Work with the ICM - Rule Maintenance Team on developing and testing client rules
- Reports compliance violations to managers. Recommend strategies for restoring compliance and ensure restoration of same
- Draft and review business requirements and provide feedback of key reports utilized for compliance monitoring to ensure accuracy of the applicable requirements
- Review key controls reports relating to the global ICM process
- The ability to work independently and in a team environment, liaising with your peers, senior management and directors
7
Skills For AVP, Investment Compliance Resume
- Participates in existing client relationship management, service delivery and new business situations
- Familiar with various regulatory requirements for investments, SFO and HK Listing Rules and regulations of the Office of the Commissioner of Insurance
- Assist in the training and development of the team in MBPS
- Assist with annual due diligence of mutual funds’ service providers including sub-advisers, fund administrators, transfer agents, distributors
- Portfolio Managers, Trading Desks, Corporate Finance teams, Portfolio Services Group
- Provide leadership in achieving project goals
8
Skills For Intermediate Investment Compliance Officer Resume
- Advanced understanding of the insurance and/or securities laws and the impact on company operations
- Identify and qualify investment compliance breach including the origin of the incide
- Familiarity with investment manager guidelines and language used in documentation
- Fixed Income or financial knowledge is required
- Performing daily investment compliance and monitoring of the trading activities of Macquarie Investment Management portfolios in an accurate and efficient manner
- Regular contact with internal investment and deal teams to resolve limit breaches
9
Skills For Head of Investment Compliance Resume
- Keep abreast of global regulatory updates and interpretive releases. With senior managers, collaborate with Legal to assess implications of new rules and regulations related to assigned area, apprises others of developments, and recommend courses of action as appropriate
- Examine department workflow and make recommendations on ways to increase efficiency while maintaining internal controls. Actively seek tools and technology to improve current operations and proposes same to managers
- Participate in specialized projects that involve interactions across MFS and its subsidiary companies. Address concerns, present solutions and identify ways to mitigate risk exposure
- Ensure that all applicable regulatory filings are filed in the appropriate timeframe
- Provide specialized investment compliance services, including batch compliance review for accounts, pre-trade, and intra-day compliance support for EMEA-based accounts and other MFS global accounts
10
Skills For Investment Compliance & Global Data Maintenance Departments Manager Resume
- Act as a compliance resource by providing compliance support to the Global based equity and fixed income Investment Teams and Traders
- Work on complex, strategic global projects and significant global regulatory initiatives
- Review, identify and research compliance exceptions and propose independent conclusions and reasonable solutions to the senior managers and draft breach memos/reporting to Regulators (i.e. CSSF) and other global clients
- Work with others in the global Compliance team and across MFS in the review and comment of client investment guidelines and RFPs
- Update and maintain global client approval and restricted lists in the compliance systems
- Assist in the implementation of CRD and other applicable investment compliance systems. Support other global initiatives/functions, such as major shareholder filings as required in EMEA
List of Typical Responsibilities For an Investment Compliance Resume
1
Responsibilities For Investment Compliance Manager Resume
- Experience with all asset types, including fixed income and derivatives
- Solid knowledge and understanding of investment products and securities regulations
- Solid knowledge of working with any buy-side Order Management Systems (i.e. BlackRock Aladdin, CRD, Thinkfolio, Eze Castle, Bloomberg AIM, etc.)
- Experience working in similar position and notably fund’s investment restriction checks (preferably Luxembourg)
- Have good knowledge of PC applications (Word, Excel, PowerPoint)
- Ensuring processes’ efficiency and time management of the Investment Compliance and Global Data Maintenance teams
2
Responsibilities For Investment Compliance Specialist Resume
- In-depth understanding of mutual fund and institutional account investment guidelines and restrictions
- In-depth understanding of internal investment policies and restrictions
- Act as a compliance resource by providing on call compliance support to the Global based equity and fixed income Investment Teams and Traders
- Contribute to the analysis of client Investment Management Agreements (IMAs) and seeking clarification of guidelines from the business where necessary
- Manager and Conduct transactional and forensic Compliance testing
- Communicate with all levels of management including the Executive Management Team
- Responsible for leading the Investment Compliance Team
3
Responsibilities For Investment Compliance Analyst Resume
- Knowledge of financial applications (Bloomberg, etc.) would be considered as an advantage
- Are highly accurate, dedicated to quality and stress resilient
- Client presentations and due diligence
- Management, supervision, and development of three junior investment risk analysts
- Participate in the implementation and monitoring of a mutual fund compliance program including the testing and oversight of written policies and procedures, the maintenance of a risk matrix, and the monitoring of internal and external service providers
- Prepare Board and Senior Management reporting, including being able present and communicate large volumes of information effectively and being able to respond to questions regarding the material
- Conduct regular regulatory and investment compliance monitoring procedures and checking
- Participate in new business situations, including the review and analysis of needs and the design of solutions
4
Responsibilities For Consultant, Investment Compliance Resume
- Manage regulatory requests and monitor submission of regulatory reports to ensure compliance with statutory filing requirements
- Review policies, procedures, new product proposals and product related materials and carry out compliance review
- Identify and resolve compliance gaps with different business units and subsidiaries to ensure full compliance with regulatory requirements
- Knowledge on pension business, investment, AML, FATCA, CRS compliance
- Proficient communication, written and spoken in both English and Chinese
5
Responsibilities For Director, Investment Compliance Resume
- Good business judgment and the ability to handle stressful situations with internal clients while maintaining a professional approach to problem solving and risk reduction
- Understanding of the business operations and practices, procedures and controls specific to the business units supported is required. Desire to keep abreast of best practices as well as evolving issues within scope of the position is required
- Able to work overtime as necessary to keep current with work
- Knowledge of UCIT’s Rules
- Knowledge of ERISA eligibility issues
- Collaborate cross functionally and cross geographically
6
Responsibilities For Investment Compliance Officer Resume
- Expand the usage, effectiveness and robustness of the front-end compliance function by partnering with different business units within the organization to define and document business requirements for regulatory, client directed and internal compliance rules and restrictions, this includes
- Provide valuable guidance and 360° impact analysis of compliance requirements effect on investment operations, trader workflow and portfolio management
- Effectively implement front-end restrictions as needed for new retail products and institutional accounts. Understand the impact that all security types have on each rule and how to set up those rules in all 3 front-end applications
- Implement, maintain and ensure the integrity of compliance rules within the different compliance monitoring applications
- Work with Portfolio Compliance, MFS Legal Dept. and Product Management. to interpret, translate and implement compliance rules as directed by Regulating bodies, Institutional Investment Management Agreements, Fund Prospectuses or internal committees
- Work with Front end Compliance team members to mitigate risk by creating policies, procedures and preventative risk controls to ensure the effectiveness of the pre trade and order entry compliance monitoring function
7
Responsibilities For AVP, Investment Compliance Resume
- Monitor updates to Fund Prospectuses, SAIs and Investment Management Agreements to ensure front end monitoring rules are consistent and up to date with current guidelines
- Experience with documenting in detail, business requirements and related rule criteria in technical specification format
- Two years of experience working with mutual funds or institutionally managed separate accounts
- Assisting the Investment Compliance Manager with ongoing projects and developments within the team
- Knowledge of the securities and mutual fund industry, including rules and regulations of the 1940 Act
8
Responsibilities For Intermediate Investment Compliance Officer Resume
- Proficiency using MS Excel and PowerPoint
- Collaboration with other Invesco entities (France, Ireland, Luxembourg, UK, US) regarding Investment Compliance cross border mandates & funds
- Assume responsibility for periodic reporting (Breaches, Questionnaires etc.) both internally and externally
- Responsible for the override process and management reporting of overrides
- Work with vendor or internal technology groups to develop and enhance front-end compliance capabilities
- Ensure compliance with Investment Management processes and procedures by sampling and auditing Investment Management team documentary evidence on an ongoing basis. In consultation with senior management, implements additional controls to strengthen processes and procedures as needed
9
Responsibilities For Head of Investment Compliance Resume
- Lead liquidity and risk management program for Investment Management, working directly with TAM Compliance and Investment Analysts to monitor funds for adherence to TAM standards and enhance liquidity and risk guidelines as needed
- Contribute and participate in TAM committees, including Investment Risk Committee, Investment Committee, Trade Oversight Committee, and Model Review Committee. Summarizes discussion and action items for committees
- Participate in Investment Management’s weekly research meeting, keeping team informed of regulatory developments and sharing best practices for investment compliance
- Assist in and coordinate the production of dashboard reports for IM committees, including Investment Risk Committee, Model Review Committee, Trade Oversight Committee, and Investment Committee
- Three years of experience working in an investment-related compliance and/or risk management role
- Serve as IM and Product Management (PM) Business Continuity Planning (BCP) liaison, coordinate BCP planning, and represent IM and PM in firm-wide BCP events
- Ensure adequacy of model review responses and documentation, including follow-up by analysts when needed
- Organize committee meetings, collect and prepare materials, maintain committee meeting archives
- Write clearly and concisely in a variety of business formats
10
Responsibilities For Investment Compliance & Global Data Maintenance Departments Manager Resume
- Monitoring day-to-day fund investment restrictions and policy monitoring (UCITS V, ESMA Guidelines, SIF Law, AIFM) and risk exposure calculation for funds under commitment approach
- Solid knowledge of Asset Management (buy-side) Compliance, Audit Controls, Risk, and/or Legal
- Experience in UCITS and alternative funds’ investment restrictions
- Assessment of breaches (active / passive) and CSSF reporting pursuant to Circular 02/77
- Ensure that all unresolved compliance issues are followed up to ensure prompt resolution
- Perform eligibility assessment towards UCITS prerequisites
- Supervise the daily activities of the Investment Compliance Analysts and Administrative Assistant, provide training, cross-training and support as necessary, and ensure appropriate coverage and distribution of workload
- Provide Advisory to other business functions & employees on Investment Compliance related matters
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