The asset management division of a global diversified banking giant seeks a Compliance professional. The person will focus primarily on Guidelines Monitoring Compliance. He/she will also engage in a variety of other Compliance related matters.
- Set-up guideline coding restrictions for new accounts or new funds.
- Monitor guidelines on an automated and manual basis.
- Provide advice to portfolio management team regarding compliance requirements regarding investment and trading issues.
- Research potential violations of client guidelines and report to management as appropriate.
- Follow up and document portfolio management trade cancel and corrects
- Establish metrics and enhance forensic testing for investment and trading related issues
- Review performance dispersion and fair allocation
- 3-4 + years compliance experience, preferably portfolio surveillance
- Experience with compliance engines (e.g., Bloomberg AIM; Charles River) is a plus
- Ability to multitask, work independently with minimal supervision and prioritize assignments to meet deadlines
- Experience with Microsoft Office products and Industry products such as Factset and Bloomberg
- Work effectively with investment staff and articulate clearly recommendations.
- Ability to research details in order to perform a thorough analysis
- Project management experience; and extensive experience managing multiple projects concurrently and meeting deadlines
- Flexibility to work well with a team
- Knowledge of the Investment Advisers Act and the Investment Company Act
- Proven capability in analyzing complex data, evaluating information and drawing logical conclusions
- High integrity and reliability
Please email resumes to Jack Kelly at Jack@ComplianceSearch.com