Investment Compliance Team Lead - Los Angeles
Location Los Angeles
Consultant Christian Lewis
Date posted July 13, 20187 Times Square New York NY 10036 Robert Walters United States of America
A Global Asset Manager is in search for an Investment Compliance Team Lead. This candidate would be responsible for revelant regulatory requirements, and investment guidelines interreptation.
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.