Sunday, February 5, 2012

Portfolio Compliance Analyst

Apply for Job Here

POSITION OVERVIEW

The Portfolio Compliance Analyst will assist the Chief Compliance Officer in implementing controls and monitoring the activities of the Firm to ensure compliance with ethical and regulatory standards.

JOB FUNCTIONS

Portfolio Compliance
  • Perform daily reviews to ensure client guidelines are being properly followed;
  • Enter new client, regulatory or other guidelines into Bloomberg CMGR;
  • Create and maintain guideline spreadsheets for portfolio manager and trader use;
  • Respond to client reporting requirements regarding guideline adherence; and
  • Produce reports for affiliated and sub-advised mutual fund boards of trustees.

Anti-Money Laundering
  • Implement and monitor controls designed to meet applicable anti-money laundering (AML) regulations;
  • Interact with clients, including affiliated and sub-advised mutual funds, regarding AML requirements;
  • Produce reports demonstrating AML compliance; and
  • Respond to internal and external questions regarding AML compliance.

Advertising
  • Review and assist in production of client service and external marketing materials.
 Requirements
MINIMUM REQUIREMENTS

  • Bachelor’s degree, preferably in Business, Finance or Accounting;
  • 2-4 years portfolio compliance experience at an SEC registered investment advisor;
  • Knowledge of automated portfolio compliance systems, especially the ability to set up rules;
  • Knowledge of applicable SEC rules for investment companies, such as leverage, liquidity, diversification and concentration;
  • Knowledge and experience with anti-money laundering laws and regulations;
  • Writing and quantitative skills sufficient to prepare a wide variety of reports for clients, industry consultants and internal users; and
  • Working knowledge of MS Office Outlook, Word and Excel; knowledge of Access a plus.

PREFERRED QUALIFICATIONS

  • Fixed income experience, particularly with mortgage-backed and emerging markets securities;
  • Knowledge of Bloomberg’s CMGR system;
  • Knowledge of regulatory investment restrictions imposed by ERISA; and
  • Experience with advertising review for an investment advisor.

PERSONAL ATTRIBUTES

  • Able to interact professionally at all levels of a tightly-integrated corporate team, including portfolio managers and traders;
  • Possesses high integrity and a strong work ethic;
  • Self-starter and able to function independently;
  • Well organized problem solver able to manage multiple priorities and deadlines; and
  • Strong attention to detail.

Apply for Job Here

Subscribe to Trading Jobs by Email
Find the latest Trading Jobs here

No comments:

click me