Portfolio Compliance Surveillance/Advisory Associate
Consultant Robert Moseman
Date posted December 9, 20187 Times Square New York NY 10036 Robert Walters United States of America
A well-known asset management firm seeks a portfolio compliance surveillance/advisory associate to join the compliance function.
This associate will essentially serve as the ambassador from the compliance team with traders and portfolio managers, both improving existing portfolio compliance protocol and ensuring business is conducted with adherence to rules and regulations.
- Create and implement surveillance and monitoring protocol to identify any conflicts on a live, real-time basis
- Evaluate and improve existing controls, and create/amend policies & procedures in accordance to rule and regulatory change
- Serve as a compliance advisor to portfolio manager and trader, and ensure their adherence to client guidelines and internal/external regulatory requirements
- Ensure that currently guideline testing measures are in place, and suggest/implement improvements as needed
- Confidently and proactively review current control and monitoring initiatives, and present proper findings to management
- Proficiency in Charles River and Sentinel a plus.
Please feel free to apply today, or contact me, Bob Moseman, at (212) 704-9900 for a confidential conversation.