Overview

A well respected investment management division of a large global company seeks a Compliance professional.

This position is responsible for a variety of important compliance matters related to monitoring clients’ investment guidelines and representing Compliance on related systems projects, Rule 206(4)-7 reviews, personal trading and other Code of Ethics requirements, and other responsibilities. This position reports directly into the Head of Compliance.

 

RESPONSIBILITIES:

  • Handle the initial set-up, implementation, and monitoring of new client investment guidelines.
  • Develop and maintain investment guidelines  
  • Provide advice around the coding of regulatory / guideline restrictions to the business when required; interact with fund managers and front office staff at all levels.
  • Review existing client account guidelines against coded restrictions on the compliance monitoring platform for accuracy and potential gaps or rule misinterpretations.
  • Implement the breach investigation process to ensure the efficient and timely resolution of guideline exceptions and operational issues.
  • Pre-Trade: Implement the Fails override process for transactions.
  • Post Trade: Manage the breach investigation process for all mandated accounts.
  • Communicate the escalation of operational incidents and potential guideline breaches to senior management.
  • Continually improve the firm’s understanding and use of the compliance monitoring platforms’ functionality, including reporting, to best meet the firm’s business needs.
  • Work with IT to evaluate data feeds between the compliance monitoring systems and other data provider systems used to monitor client guidelines, e.g., transmission feeds between Long View, FactSet, Bloomberg, Pace, etc.
  • Ad-hoc project involvement for new instruments, markets, system changes, and product launches.
  • Involvement with additional compliance oversight responsibilities and periodic compliance monitoring program and DCM’s annual compliance review.
  • Conduct Rule 206(4)-7 Annual Reviews.
  • Provide support on Code of Ethics questions (personal trading, Gifts and Entertainment, Employee Certifications, etc.).
  • Foster strong working relationships with the front office and relationship management, whilst maintaining an independent view.

 

QUALIFICATIONS:

  • BA or BS Undergraduate degree.
  • Minimum of 4-6 years’ compliance experience, including working with trading and compliance monitoring platforms, e.g., Long View, Bloomberg and the ability to program complex rules.
  • Strong knowledge of Fixed Income and Equity securities.
  • Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940, including the rules issued thereunder.
  • Ability to identify, understand, analyze, and reach appropriate conclusions with respect to client directives, regulatory requirements, compliance monitoring systems, and portfolio manager expectations.
  • Demonstrated excellent attention to detail and good computer systems literacy.
  • Ability to meet deadlines and prioritize workload.
  • Excellent written and oral communication skills.

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

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