The asset management division of a global diversified banking giant seeks a Compliance professional. The person will focus primarily on Guidelines Monitoring Compliance. He/she will also engage in a variety of other Compliance related matters.


Primary Responsibilities:

  • Set-up guideline coding restrictions for new accounts or new funds.
  • Monitor guidelines on an automated and manual basis.
  • Provide advice to portfolio management team regarding compliance requirements regarding investment and trading issues.
  • Research potential violations of client guidelines and report to management as appropriate.
  • Follow up and document portfolio management trade cancel and corrects
  • Establish metrics and enhance forensic testing for investment and trading related issues
  • Review performance dispersion and fair allocation


  • 3-4 + years compliance experience, preferably portfolio surveillance
  • Experience with compliance engines (e.g., Bloomberg AIM; Charles River) is a plus
  • Ability to multitask, work independently with minimal supervision and prioritize assignments to meet deadlines
  • Experience with Microsoft Office products and Industry products such as Factset and Bloomberg
  • Work effectively with investment staff and articulate clearly recommendations.
  • Ability to research details in order to perform a thorough analysis
  • Project management experience; and extensive experience managing multiple projects concurrently and meeting deadlines
  • Flexibility to work well with a team
  • Knowledge of the Investment Advisers Act and the Investment Company Act
  • Proven capability in analyzing complex data, evaluating information and drawing logical conclusions
  • High integrity and reliability

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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