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Sr. Compliance Analyst – Investment Advisory
at Compliance Search Group in New York, NY
Job Summary:
Outstanding opportunity with institutional investment adviser based in Manhattan. Individual will have responsibility for portfolio surveillance including client guideline review, coding Bloomberg AIM equity and fixed income rules, testing and evaluation of rule constructs and forensic testing of Compliance Program. Individual will assist the CCO with the development and deployment of the Compliance Program and perform client reporting duties.
Essential Duties and Responsibilities:
• Daily monitoring of trading activity for adherence with client investment guidelines and regulatory requirements utilizing Bloomberg AIM compliance system;
• Writing and testing rules in Bloomberg system;
• Identify and facilitating the resolution of trading errors;
• Provide on-going support to Client Services with respect to client reporting;
• Enhance, develop and implement compliance policies and procedures;
• Confidently liaise with Legal, Portfolio Management, Trading, Operations and IT personnel.
• Review sales literature and advertising in coordination with Marketing.
Education/Skills:
• Undergraduate degree in Finance, Economics or related field required;
• MBA or equivalent graduate studies preferred;
• Series 7 and 24 preferred;
• Strong working knowledge of the Investment Advisors Act, Investment Company Act, and related securities rules and regulations;
• Minimum 5 years experience with an institutional investment management firm;
• Strong analytical skills; Detail oriented;
• Experience with Bloomberg;
• Work effectively and accurately under pressure;
• Take initiative, spot issues, follow-up and work independently;
• Strong communication and organizational skills;
• Proficiency in Word, Excel, comfortable working with accounting and trading systems;
• Requires occassional travel/work to San Diego, CA and Dallas, TX
To apply please submit your resume to Michael Lane – Mlane@ComplianceSearch.com
Outstanding opportunity with institutional investment adviser based in Manhattan. Individual will have responsibility for portfolio surveillance including client guideline review, coding Bloomberg AIM equity and fixed income rules, testing and evaluation of rule constructs and forensic testing of Compliance Program. Individual will assist the CCO with the development and deployment of the Compliance Program and perform client reporting duties.
Essential Duties and Responsibilities:
• Daily monitoring of trading activity for adherence with client investment guidelines and regulatory requirements utilizing Bloomberg AIM compliance system;
• Writing and testing rules in Bloomberg system;
• Identify and facilitating the resolution of trading errors;
• Provide on-going support to Client Services with respect to client reporting;
• Enhance, develop and implement compliance policies and procedures;
• Confidently liaise with Legal, Portfolio Management, Trading, Operations and IT personnel.
• Review sales literature and advertising in coordination with Marketing.
Education/Skills:
• Undergraduate degree in Finance, Economics or related field required;
• MBA or equivalent graduate studies preferred;
• Series 7 and 24 preferred;
• Strong working knowledge of the Investment Advisors Act, Investment Company Act, and related securities rules and regulations;
• Minimum 5 years experience with an institutional investment management firm;
• Strong analytical skills; Detail oriented;
• Experience with Bloomberg;
• Work effectively and accurately under pressure;
• Take initiative, spot issues, follow-up and work independently;
• Strong communication and organizational skills;
• Proficiency in Word, Excel, comfortable working with accounting and trading systems;
• Requires occassional travel/work to San Diego, CA and Dallas, TX
To apply please submit your resume to Michael Lane – Mlane@ComplianceSearch.com
Published at 10-05-2010
Viewed: 16 times
Viewed: 16 times