Sunday, November 20, 2011

Trading Compliance Specialist

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Top-tier investment adviser is seeking a Trading Compliance Specialist with primary responsibilities for implementing, testing, and reviewing investment guidelines and restrictions and analyzing securities for appropriate set-up on the Adviser’s trading platform.   

• Conduct overall trader surveillance, including identifying and escalating potential trading issues
• Perform and document quarterly trade cost analysis of all trades
• Maintain trading system’s data integrity and rule functionality
• Complete due diligence reports for clients
• Assist in annual compliance reviews by performing test work and documenting results
  • BA degree; Minimum 3 years experience
  • Knowledge of Charles River Trading System is required
  • Compliance experience at an Investment Adviser or Broker Dealer
  • Detail oriented
  • Good team player – one who is able to prioritize in a fast moving, high pressure, constantly changing environment
  • Ability to work with Portfolio Managers and Traders and build smooth working relationships
  • Strong analytical and problem solving skills
  • Comfortable with different technology applications

Apply for Job Here

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