Sunday, February 5, 2012

Portfolio Compliance Analyst

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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.


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.

  • Review and assist in production of client service and external marketing materials.

  • 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.


  • 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.


  • 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

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