We are seeking a Portfolio Compliance Analyst toassist with daily compliance management and oversight of client investmentguidelines.
The primary responsibilities of the Portfolio ComplianceAnalyst is monitoring investment guidelines, developing and testing compliancerules using Charles River Development (CRD), monitoring pre-trade/post-tradecompliance alerts, and investigating and resolving guideline breaches. Thisincludes but is not limited to, client investment guidelines, regulatory rulesand restrictions, Mellons internal and BNY Mellon corporate policies, andrules pertaining to relevant regulatory agencies and foreign jurisdictions.
The Portfolio Compliance Analyst reports to thePortfolio Compliance Manager and will require daily interaction with investmentteams, traders, distribution, and operations staff across a variety of investmentstrategies and products. Additionally, the Portfolio Compliance Analyst willassist with inquiries from clients, internal and external auditors, regulatoryexaminers, and corporate risk and compliance officers.
Candidate must display sound business judgment indriving results and creating and implementing creative business solutions tocomplex compliance issues.
Reviewclient agreements and develop compliance rules in Charles River Development(CRD) based on investment guidelines.
Monitordaily pre-trade and post-trade alerts. Effectively communicate and work with portfoliomanagers, client service representatives, and team members to resolvecompliance issues/breaches.
Respondto internal and external compliance inquiries and requests.
Processclient restricted list requests into the system.
Timelycompletion of client certifications and due diligence questionnaires whileensuring appropriateness and consistency of responses.
UnderstandMellons products and strategies and help administer the firms complianceprogram.
Completead hoc assignments and assist with completion of overall departmental goals.
Bachelors degree required. CFA and/or advanceddegree a strong plus.
Minimum 3-5 years relevant working experience incompliance or auditing at an investment advisory or asset management firm.
Experience with Charles River Development orcomparable compliance monitoring system. Knowledge of Aladdin system a plus.
Knowledge of securities laws including those underthe Investment Company Act of 1940, UCITS, and ERISA.