The Investment Management division of a top global investment bank seeks a Compliance Associate to join their team. The role is Compliance in nature, and embedded within the business division.

What you will do a typical day

  1. Perform daily surveillance of separately managed accounts, mutual funds, and products subject to ERISA, 40 Act and UCITS.  Work with other members of the global team to support the global investment and trading process.
  2. Promptly review, analyze, and resolve issues relating to compliance engine-generated pre- and post-trade alerts and warnings.
  3. Review prospective and existing client investment management agreements in relation to firm requirements.
  4. Timely prepare responses to monthly and quarterly client certifications and client questionnaires.
  5. Work effectively with key internal and external teams including Technology, Operations, Legal, Compliance, and investment management staff to solve business and regulatory driven initiatives.
  6. Effectively partner with Portfolio Managers and Traders to proactively strengthen surveillance process as well as provide them with pro-active service without jeopardizing fiduciary responsibilities.
  7. Proactively identify process improvement and risk mitigation opportunities within the function locally and globally, and work effectively with global portfolio surveillance, management, Technology, and other groups to effect enhancements as appropriate.
  8. Proactively work to improve knowledge of global regulatory compliance rules.


What the Company seeks in a candidate

  1. 5+ Years relevant portfolio surveillance experience.
  1. Ability to work and communicate effectively with investment management staff, including portfolio managers and traders.
  2. Strong analytical and creative problem solving skills; continuous process improvement and risk mitigation mindset is a must.
  3. Proactive; resolves issues with a sense of urgency; willingness to take on challenges and projects; detail oriented with ability to effectively multi-task, prioritize, and produce results.
  4. Fixed income and equity product / trading / market practices knowledge [required][a plus].  UCITS and Advisers Act / Company Act knowledge is a plus.
  5. Knowledge of compliance engines (Sentinel and Aladdin) is strongly preferred.  
  6. High integrity, reliability, and collaborative outlook to support development, implementation, and enhancement of global policies and practices.
  7. BS or BA education required.

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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