Investment Compliance Lead - Global Asset Manager
Location Los Angeles
Consultant Christian Lewis
Date posted June 12, 20187 Times Square New York NY 10036 Robert Walters United States of America
A Leading Global Asset Manager is in search of an Investment Compliance Professional to support the investment team in an AVP-VP leadership capacity.
This individual will be responsible for monitoring current holdings and daily trading activity against client guidelines, restrictions, internal policies/procedures, and relevant regulatory requirements.
- Provide quality control reviews related to the new account setup and guideline change process.
- Review systematic feasibility of investment guidelines and provide guidance/expertise as it relates to coding in our compliance monitoring system, Charles River.
- Review and interpret all governing documents, including but not limited to Investment Management Agreements (IMA), Prospectuses, Statement of Additional Information (SAI), and Fund Declarations.
- Identify and resolve any issues/concerns with investment guideline interpretation.
- Review EOD portfolio compliance results, identify and resolve any active or passive compliance issues.
- Work with Portfolio Management, Trading, Data Management and others within Investment Compliance to determine trade suitability, review daily trading activity and identify and resolve any associated compliance issues.
- Identify ways of creating efficiencies/improving processes to the Investment Compliance program using best practices.
- Effectively participate in internal and external audits of controls and associated testing.
- Bachelor’s degree with 5+ years of relevant experience, including knowledge and use of CRD.
- Knowledge and understanding of capital markets; experience with fixed income, equity and derivative instruments strongly preferred.
- Knowledge of the 40 Act
- Proficiency in Bloomberg and other major software applications.