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Monitor Client Portfolios regarding Investment Guidelines & Restrictions
at Compliance Search Group in New York, NY
• To assist the Chief Compliance Officer in their oversight of compliance of the asset management business, concerning the provisions of the Investment Advisers Act of 1940 and State Insurance regulations.
• To oversee the monitoring of client portfolios with the relevant state insurance statutes, internal policies and procedures and investment guidelines and restrictions.
• Provide guidance on and conduct reviews of client portfolio adherence to investment guidelines and other restrictions. Resolve pre- and post-trade compliance alerts & warnings using Bloomberg;
• Perform quarterly and ad hoc compliance tests on the companies’ investment portfolios.
• Perform compliance functions related to all inter-affiliate security transactions and alternative investment allocations;
• Compile and prepare data for client reporting and regulatory filings (e.g. 13-F, 13-G, Form S, Form N-CSR);
• Prepare and present compliance reporting to various units of the firm including senior management of various insurance units and senior management of the Asset Management Group.
• Maintain Compliance section of the Alternative Assets Tracking System, test all proposed allocations of alternative investments, and maintain log on remaining capacity for alternative investments for all relevant US insurance companies;
• Code, test and implement client guidelines in Bloomberg POMS, including the review of the initial contract/prospectus and subsequent updates;
• Interact with various departments to develop and enhance the effectiveness of compliance monitoring systems and reports;
• Provide guidance on and/or conduct reviews on client portfolio adherence to investment guidelines and restrictions;
• Interact with Portfolio Managers and other staff to assist in resolving issues;
• Assist on special projects and ad hoc assignments.
• Knowledge of the relevant State Insurance statutes pertaining to investment guidelines;
• 2 to 6 years experience monitoring client accounts in the operations of a registered investment adviser or Insurance company;
• 3-5 years of experience working with Bloomberg POMS (compliance application);
• Ability to read and interpret regulatory statutes and client guidelines;
• Strong Microsoft Excel and Microsoft PowerPoint skills;
• Familiarity with insurance accounting processes and procedures;
• Basic understanding of the asset management business;
• Strong communication and inter-personal skills;
• Writing skills.
• Title: Compliance Analyst
• Report to Manager, Compliance
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
• To oversee the monitoring of client portfolios with the relevant state insurance statutes, internal policies and procedures and investment guidelines and restrictions.
• Provide guidance on and conduct reviews of client portfolio adherence to investment guidelines and other restrictions. Resolve pre- and post-trade compliance alerts & warnings using Bloomberg;
• Perform quarterly and ad hoc compliance tests on the companies’ investment portfolios.
• Perform compliance functions related to all inter-affiliate security transactions and alternative investment allocations;
• Compile and prepare data for client reporting and regulatory filings (e.g. 13-F, 13-G, Form S, Form N-CSR);
• Prepare and present compliance reporting to various units of the firm including senior management of various insurance units and senior management of the Asset Management Group.
• Maintain Compliance section of the Alternative Assets Tracking System, test all proposed allocations of alternative investments, and maintain log on remaining capacity for alternative investments for all relevant US insurance companies;
• Code, test and implement client guidelines in Bloomberg POMS, including the review of the initial contract/prospectus and subsequent updates;
• Interact with various departments to develop and enhance the effectiveness of compliance monitoring systems and reports;
• Provide guidance on and/or conduct reviews on client portfolio adherence to investment guidelines and restrictions;
• Interact with Portfolio Managers and other staff to assist in resolving issues;
• Assist on special projects and ad hoc assignments.
• Knowledge of the relevant State Insurance statutes pertaining to investment guidelines;
• 2 to 6 years experience monitoring client accounts in the operations of a registered investment adviser or Insurance company;
• 3-5 years of experience working with Bloomberg POMS (compliance application);
• Ability to read and interpret regulatory statutes and client guidelines;
• Strong Microsoft Excel and Microsoft PowerPoint skills;
• Familiarity with insurance accounting processes and procedures;
• Basic understanding of the asset management business;
• Strong communication and inter-personal skills;
• Writing skills.
• Title: Compliance Analyst
• Report to Manager, Compliance
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Published at 10-05-2010
Viewed: 19 times
Viewed: 19 times