This job ad has been posted over 40 days ago...
Senior Fixed Income Compliance Analyst
at The Compliance Search Group in Boston, MA
Our client, a leading investment management firm, seeks a Senior Fixed Income Compliance Analyst.
Responsibilities
Guideline & Restrictions
• Work with the Director of Investment Services and Portfolio Managers on the review of guidelines during the client on-boarding process and subsequent amendments to existing client guidelines and restrictions. Documents in the review typically include: Investment Management Agreements, investment policy statements, investment guidelines etc. and mutual fund prospectus/SAI documents
• Perform analysis and initial coding for new accounts. Create new guidelines on an as needed basis. Perform testing of guideline rules and enhancements made to the compliance restriction system prior to implementation.
• Daily monitoring of client guidelines and restrictions
• Research and validate the accuracy of compliance restrictions
• Report violations accurately and timely and follow through to resolution
• Be a resource for the development and implementation of the new guideline system
Trade Oversight & Monitoring
• Review and sign off on trade corrections/changes
• Prepare agenda and materials and attend the Trade Management Oversight Committee
• Conduct periodic testing of firm’s internal controls and proactively enhance controls if appropriate
• Review “forensic testing” on trade allocations, including new issues.
• Develop additional oversight monitoring tools and reporting (e.g. best ex, books and records, etc.)
Client Reporting
• Prepare client reporting as needed (e.g. compliance checklists); including mutual fund board reporting to 40 Act clients
Other
• Assist in maintaining written compliance policies and procedures
• Assist in marketing material review
• Offer back-up to other members of the Compliance Department on an as-needed basis.
• Act as primary interface with Portfolio Managers and Client Accounting on compliance-related issues
• Follow up on issues identified in the oversight process to ensure issues are properly resolved.
• Attend the quarterly Valuation Committee meetings
Qualifications and Experience
• Bachelor’s Degree
• Minimum of 5 years of compliance experience in support of fixed income capital markets
• Systems: experience with trading, compliance and accounting systems as well as Microsoft office products and industry products such as Bloomberg
• Must have extensive fixed income product knowledge and strong understanding of corporate debt, asset backed securities, credit derivatives and other related securities.
Please submit resume to Jack Kelly, JKelly@ComplianceSearch.com
Responsibilities
Guideline & Restrictions
• Work with the Director of Investment Services and Portfolio Managers on the review of guidelines during the client on-boarding process and subsequent amendments to existing client guidelines and restrictions. Documents in the review typically include: Investment Management Agreements, investment policy statements, investment guidelines etc. and mutual fund prospectus/SAI documents
• Perform analysis and initial coding for new accounts. Create new guidelines on an as needed basis. Perform testing of guideline rules and enhancements made to the compliance restriction system prior to implementation.
• Daily monitoring of client guidelines and restrictions
• Research and validate the accuracy of compliance restrictions
• Report violations accurately and timely and follow through to resolution
• Be a resource for the development and implementation of the new guideline system
Trade Oversight & Monitoring
• Review and sign off on trade corrections/changes
• Prepare agenda and materials and attend the Trade Management Oversight Committee
• Conduct periodic testing of firm’s internal controls and proactively enhance controls if appropriate
• Review “forensic testing” on trade allocations, including new issues.
• Develop additional oversight monitoring tools and reporting (e.g. best ex, books and records, etc.)
Client Reporting
• Prepare client reporting as needed (e.g. compliance checklists); including mutual fund board reporting to 40 Act clients
Other
• Assist in maintaining written compliance policies and procedures
• Assist in marketing material review
• Offer back-up to other members of the Compliance Department on an as-needed basis.
• Act as primary interface with Portfolio Managers and Client Accounting on compliance-related issues
• Follow up on issues identified in the oversight process to ensure issues are properly resolved.
• Attend the quarterly Valuation Committee meetings
Qualifications and Experience
• Bachelor’s Degree
• Minimum of 5 years of compliance experience in support of fixed income capital markets
• Systems: experience with trading, compliance and accounting systems as well as Microsoft office products and industry products such as Bloomberg
• Must have extensive fixed income product knowledge and strong understanding of corporate debt, asset backed securities, credit derivatives and other related securities.
Please submit resume to Jack Kelly, JKelly@ComplianceSearch.com
Published at 05-03-2010
Viewed: 33 times
Viewed: 33 times