A successful investment management firm that is part of a larger financial institution seeks a Compliance Analyst to oversee portfolio trading activities.
This role sits in the Investment Management Compliance team and will be responsible for a host of surveillance activities, with focus on three aspects of its Compliance program:
- Forensics testing to ensure the firm’s trading activities comply with the firm’s policies
- Transactional support (IPO review and maintenance of restricted lists on a firm and account level)
- Client reporting
Functions include, but are not limited to the following:
Forensic Monitoring: Performing a variety of forensic testing to ensure compliance with regulations and company policies and procedures.
This includes forensic testing on:
- Insider trading
- Due diligence on expert network meetings
- Aggregation and allocation processes
- Conflicts of Interest
- Quantitative models
Review IPO and secondaries for broker restriction and ERISA eligibility
- Help maintain the enterprise-wide restriction list
- Assist the team with the preparation of customized monthly, quarterly client and mutual fund compliance reports
- Ad hoc support to the compliance department on an as-needed basis
- Potentially support basic coding of standard guidelines in our proprietary compliance engine
- Bachelor’s Degree preferred
- Minimum of 3 years’ experience working at an investment management firm in any combination of Compliance, Portfolio Administration or Operations
- Strong ability to develop effective working relationships with colleagues and make articulate recommendations regarding potential solutions to issues
- Energized by a fast-paced environment
Please email resumes to Jack Kelly at JKelly@ComplianceSearch.com.