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

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.