Compliance Analyst - 2 roles - one in Advertising and one in Trade surveillance

Recruiter
Wall Street Personnel
Location
Los Angeles, California
Salary
Market Competitive
Posted
17 Jan 2022
Closes
16 Feb 2022
Ref
Compliance Analyst
Industry Sector
Asset Management
Employment Type
Full Time
Education
Bachelors

 

Trade Portfolio Compliance:

The Portfolio Compliance Analyst will assist the team with monitoring compliance program as it relates to the oversight and due diligence review of the duties and responsibilities of a registered investment advisor and registered investment companies.

Job Functions

  • Perform pre- and post-trade compliance monitoring for all asset classes on commingled funds, separately managed accounts and registered funds.
  • Utilize order managements systems, such as Bloomberg/CMGR, as it relates to the trade flow process for fixed income securities.
  • Perform data extraction and initiate troubleshooting compliance engines.
  • Assess, onboard and guide the implementation of compliance technologies/systems.
  • Develop, test and implement automated rules within the monitoring systems and manual monitoring procedures for non-automated rules.
  • Collaborate with IT to create robust systems with a focus on automation and that support a streamlined approach to monitoring compliance.  
  • Review investment guidelines for separately managed accounts as well as the investment objectives and parameters of affiliated or sub-advised open-end and closed-end mutual funds.​

Requirements:

  • Bachelor’s degree, preferably in Business, Finance or Accounting.
  • 3-7 years experience in the investment management field, including experience in trade/portfolio compliance.
  • Familiarity with a compliance engine (i.e. Charles River, Aladdin, CMGR or another system) is required
  • Knowledge of CMGR/Bloomberg compliance systems is preferred, but not required.
  • A fundamental understanding of the inner workings of pre-trade compliance functionality.
  • Strong knowledge of MS Office products and particularly Excel with a focus on macros and visual basic
  • Ability to interact professionally at all levels of a tightly integrated team, including portfolio managers and traders.
  • Strong attention to detail and the ability to function independently.

 

Advertising Compliance Analyst:

Qualifications

The Compliance Analyst will assist the Compliance team with compliance program as it relates to the oversight and due diligence review of the duties and responsibilities of a registered investment advisor and registered investment companies

Job Functions

  • Review advertising and related communications for investment adviser, open-end mutual funds, closed-end mutual funds and other products (UCITS, CITs, etc.)
    • Communications to be reviewed will include: requests for proposals, prospect presentation materials, websites and other marketing materials.
  • Working knowledge of regulatory requirements for advertising and related communications for investment adviser, open-end mutual funds, closed-end mutual funds, UCITS and CITs.
  • Assist in developing and updating compliance policies and procedures related to marketing and advertising.
  • Respond to internal advertising compliance-related inquiries.
  • Other compliance duties as assigned.

Qualifications

  • Bachelor’s degree, preferably in Business, Finance or Accounting.
  • 6-8 years of regulatory/corporate compliance experience at an SEC-registered investment advisor.
  • Direct experience reviewing advertising materials for an SEC-registered investment advisor.
  • Working knowledge of applicable SEC rules for a registered investment advisor and registered investment companies.
  • Experience with regulatory requirements for private funds.
  • Working knowledge of FINRA marketing rules is beneficial, but no required.
  • Ability to implement and monitor regulatory compliance systems, especially systems related to marketing materials.
  • Fixed income investment advisory compliance experience.
  • Investment Company Act experience.
  • Ability to interact professionally at all levels of a tightly-integrated corporate team, including portfolio managers and traders.
  • Writing and quantitative skills sufficient to prepare a wide variety of reports for clients, industry consultants and internal users
  • Self-starter and able to function independently.
  • Well organized problem-solver able to manage multiple priorities and deadlines.
  • Strong attention to detail.

 

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