Thursday, October 31, 2013

Compliance Associate Investment Management/Mutual Funds

Compliance Associate

Investment Management/Mutual Funds


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


• 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


• Bachelors degree - minimum

see above for job specifications

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