Portfolio Compliance Associate
Salary $80,000 - $100,000 per year
Consultant Lucky Nguyen
JobRef 113072/0012019-04-18 2019-06-15 financial-services permanent US New York City New York 10036 USD 80000 100000 100000 YEAR Robert Walters https://www.robertwalters-usa.com https://www.robertwalters-usa.com/content/dam/robert-walters/global/images/logos/web-logos/logo.gif
A hedge fund here in NYC is looking to add a compliance analyst to assist with portoflio compliance / investment guidelines
About the Portfolio Compliance Associate 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 equities experience. 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 opportunityfor you!
Apply today or call me, Lucky Nguyen, on 212-704-9900.