A global midsized investment management firm offering ETFs, mutual funds, and other investment vehicles seeks a Compliance professional.
The Compliance person will be involved in a wide array of daily compliance responsibilities.
Essential Duties and Responsibilities:
- Managing the firm’s investment guideline monitoring program, including on-boarding of new mandates, interpretation, coding, daily monitoring and resolution of issues.
- Documenting manual guidelines and working cooperatively with investment teams to ensure adequate monitoring.
- Assist in overseeing the compliance program for the mutual funds, ETFs, hedge funds, investment advisers and broker dealer.
- Conducting ongoing testing of various policies and procedures.
- Completing monthly, quarterly and annual compliance reporting requirements for existing clients.
- Ad-hoc compliance projects.
- Assisting in the monitoring of the code of ethics.
- Assist in monitoring for compliance with client guidelines and restrictions
- Assist in monitoring trade desk
- Drafting and amending policies and procedures.
- Assist in 206(4)-7 and 38(a)-1 reviews
- Assist in vendor, sub-advisor and other due diligence reviews
- Knowledge of how to Code in the Bloomberg Order Management System or similar Compliance and Order Management System
- Understanding of the guideline monitoring function within an investment management organization.
- Knowledge of the Investment Company Act of 1940, Investment Adviser Act of 1940, and UCITs regulations.
Education and/or Experience
- Bachelors Degree in Finance, Accounting
- Advanced Degree Preferred
- Minimum of 5-7 years relevant experience within an asset management firm. Compliance, Fund Administration, Operations, or Finance experience preferred
Please email resumes to Jack Kelly at Jack@ComplianceSearch.com