This position acts as an intermediary between Portfolio Management, Trading, and Operations to ensure that orders and executions are compliant with all investment restrictions and the firm’s applicable policies and procedures.
Role & responsibilities
•Work within the investment compliance team to electronically (via Bloomberg AIM and the firm’s own compliance engine (“IPMS”) monitor compliance with all regulatory requirements and the investment guidelines of the firm’s separately managed portfolios and mutual funds including:
•Participate in the coding of client investment guidelines and regulatory requirements in the Bloomberg and IPMS systems.
•Communicate guideline/trading issues to individuals across the company including Portfolio Management, Trading, Operations and Client Services.
•Conduct ongoing reviews of the firm’s institutional accounts to ensure compliance with client guidelines.
•Investigate compliance issues as needed and report findings back to department managers.
•Perform general compliance and operational risk related functions as instructed.
•Participate in various legal and compliance projects (regional and global).
Experience / Qualifications and Skills
•Minimum of 3 years of securities and/or asset management
•Minimum of 2 years of Bloomberg CMGR coding experience or on other similar compliance monitoring systems (e.g. Charles River Development)
•Computer proficient including Microsoft Office Suite
•This position requires flexible workings hours (as early as 6:00AM and as late as 6:00PM PT)
•BS or BA
•Experience in implementing systems and processes
•Intermediate or advance MS Excel skills include Pivot tables, V-Lookup formulas