Asset Management - Investment Advisory Compliance Officer
- Location:New York
- State:NY
- Salary:$100K+
-
- Job Types:
- Tax & Compliance
Job Description
Global investment bank seeks a Compliance Officer for their asset management division.
The Compliance professional will assist in all aspects of compliance with the Investment Company Act, Investment Advisers Act, and ERISA, as well as specific fund restrictions for all institutional clients and proprietary/sub-advised 40 Act Funds that are managed by the firm.
Responsibilities include: reviewing potential guideline issues, supervising the monitoring of regulatory requirements, and assisting in the development and maintenance of the firm’s compliance program.
The person will also manage several Compliance Analysts.
- Serve as a liaison between the business and Compliance
- Assist the business in their review of pre-trade alerts
- Provide real-time advice to front office
- Interact with Monitoring to the extent necessary to provide guidance
- Point of contact for the on-boarding of new accounts, performing a preliminary review of new and amended client investment guidelines/restrictions
- Assist the guideline monitoring and surveillance groups with the resolution of breaks and errors
- Review of new products and new instrument to ensure they are appropriately developed/launched
- Other duties as necessary and/or assigned
Position Requirements
- Bachelor’s Degree
- 7+ years of compliance experience in financial services with a focus on fixed income products, preferably with an asset management (“buy side”) firm
- Management experience a plus, but not required
- Strong understanding of financial instruments, particularly fixed income products, and portfolio management/trading systems, issues
- Experience with Charles River Trading System a plus
(629930)
