Investment Management/Mutual Funds
Responsibilities
This position is located in the greater NYC area at a prestigious and well established asset manager with close to $150B AUM. The firm is seeking a Compliance Associate, ideally from a similar type buyside organization, who has 2 to 5 years' experience in carrying out the following responsibilities:
• Run daily compliance exception reports and compliance warehouse reports for the surveillance group
• Scan surveillance reports to satisfy firm recordkeeping requirements
• Analyze and review of portfolio investment guidelines and restrictions for institutional equity and fixed income accounts, including sub-advised mutual funds
• Daily, weekly and monthly review and testing of mutual fund regulatory requirements for equity and fixed income portfolios
• Completion of monthly and quarterly compliance certifications for institutional accounts
• Assist in the completion of quarterly board certifications for sub-advised mutual funds
• Analyze and assist in resolving potential trading and investment restriction issues
• Policy and procedure review testing and reporting under Rule 206(4)-7 and Rule 38a-1
• Work closely with Portfolio Managers, Client Services, Middle Office and Trading to resolve potential compliance violations
• Assist in responding to RFP and Client Due Diligence/Compliance Questionnaires
• Assist in completing special projects assigned to Compliance
Qualifications
• 3 -- 5 years of investment advisory firm experience in Compliance
• Derivative knowledge preferred
• Series 6 or 7 is desirable
• Knowledge of fixed income and equity trading and settlement process
• Regulatory knowledge of the Investment Company Act and Investment Advisers Act is desirable
• Ability to meet deadlines in a demanding environment
• Strong analytical, problem-solving and organizational skills
• Strong interpersonal, verbal, and written communication skills
• Ability to simultaneously manage various issues and projects in a fast-paced demanding environment
• Knowledge of UCIT investment restriction surveillance is desirable
• Knowledge of and experience using an asset management compliance system including rule building in one or more of the following systems is desirable: Line Data Compliance System, Bloomberg CMGR Compliance System, Charles River.
• Experience using Business Objects and the PAM accounting system is desirable
Personal Characteristics
• Detail oriented
• Multitasking capabilities
• Good writing skills
Education
• Bachelors degree - minimum
see above for job specifications
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