Portfolio Compliance Officer
Salary $100000 - $150000 per year
Location New York
Consultant Lucky Nguyen
Date posted April 28, 2017
A well known asset management firm is looking to add a compliance officer to their investment/porfolio compliance team.
About the Portfolio Compliance Officer Position:
This position is responsible for a variety of functions within the firm’s Compliance Surveillance Group, with emphasis on guideline monitoring (using Charles River and Blackrock Aladdin), trade allocation reviews, compliance program testing and regulatory reporting. This role is open to junior to senior level candidates!
- Monitor investment guidelines using the Charles River and Blackrock Aladdin Compliance systems for breaches and trade errors.
- Review client participation in equity IPOs and similar new issues for compliance with FINRA Rules 5130/5131, Regulation M and relevant rules under the Investment Company Act of 1940.
- Monitor executions by equity and fixed income trading desks and serve as a regulatory resource for trading personnel.
- Review and prepare materials to support the firm's compliance-related certifications to clients.
- Review client contracts and update the account requirements in the Charles River and Bloomberg Compliance systems.
- Perform testing to confirm adherence to policies and procedures.
- Work with other members of the Surveillance Group on specific projects and reporting requirements as they arise.
The ideal candidate will have strong fixed income experience and knowledge of equities. Product knowledge that would be greatly appreciated in this position include structured products (CLOs, CMO, ABS, MBS), corporate bonds, private placements and real estate. Familiarity with trading platforms such as Blackrock Aladdin and Charles River will help candidates excel in this role.
This organization is a very well known investment manager in the United States. This investment manager offers exposure to a variety of strategies and is a consistent performer in the market.
If you are a driven compliance officer with experience in investment guidelines, this would be a great opportunity for you!
Apply today or call me, Lucky Nguyen, on 212-704-9900.