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.
Responsibilities:
• 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
Responsibilities:
• 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
Requirements
- 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
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