Wednesday, October 23, 2013

VP, Portfolio and Trading Compliance Officer

VP, Portfolio and Trading Compliance Officer

New York, NY

Up to $160K

The Compliance team is responsible for advising the broad network of branch offices, as well as the different functional units within Americas. The Compliance team works closely with management, sales, trading, operations, technology and other areas to help ensure that high net worth and advisory businesses complies with Firm policies and procedures as well as the requirements of our regulatory authorities, including but not limited to the SEC, FINRA, MSRB and state securities regulators.


Responsible for building the investment advisory compliance program and implementation of Charles River and other trade order management and compliance applications.

Manage and mentor a team of compliance professionals.

Attend committee meetings and work with senior level business managers to integrate investment adviser compliance into the business workflows.

Ensure applicable policies and procedures are adequate and effective and build compliance checklists.

Monitor portfolio manager adherence to client guidelines, internal parameters, and statutory requirements. Maintain list of automated and manual guidelines.

Identify, escalate, and assist with resolution of breaches.

Provide advisory support to investment managers on investment management compliance-related issues.

Ensure a collaborative working environment between Investment Management, Business Control, Operational Risk, and Compliance. Foster an environment for information sharing.


10+ years compliance experience with strong understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940, and ERISA.

BA/BS is required.

Very strong knowledge of Charles River, Bloomberg, or a similar Order Management and Compliance Monitoring System.

Strong knowledge of equity and fixed income investment strategies

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