Senior Trading Compliance Associate

RESPONSIBILITIES

Key responsibilities include:

Analyzing transactions and portfolio holdings with respect to regulatory, client, and internal guidelines and calculating various risk parameters
Researching and addressing inquiries related to investment guidelines from the Trade Floor and other internal/external parties.

Confirming all trades are compliant by the end of each business day
Preparing various reports on a daily basis to relevant internal groups
Participating in numerous ad hoc projects tied to optimizing and automating the Trade Compliance process

POSITION REQUIREMENTS

Minimum of a Bachelor's Degree (Accounting, Business, Finance or Economics preferred)
5+ years of professional experience in compliance or the investment management industry
Knowledge of the global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and derivatives.
Intermediate/advanced working knowledge of MS Excel.

PREFERRED QUALIFICATIONS

PROFESSIONAL SKILLS REQUIREMENTS

Have a strong sense of honesty and integrity
Quick learner and adaptable to learn new processes, concepts, and skills
Maintaining a strong commitment to quality and attention to details; ensuring that relevant work product is complete, accurate and on time.
Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization in an effective and collaborative manner
Ability to multi-task, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output
Highly motivated self-starter with the ability to work collaboratively and independently
Desire to take initiative and contribute to the department and the organization

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