Guideline Monitoring Compliance Officer- AVP

  • Base + Bonus + Benefits
  • Manhattan, NY, USA Manhattan NY US
  • Permanent, Full time
  • The Forum Group
  • 19 Mar 18 2018-03-19

Assistant Vice President position in the Alternatives Compliance team of top tier bank's Asset Management Division. Compliance Officer will provide support to the Liquid Real Assets business which focuses on the investment of real estate equity securities.

The successful candidate will:

  • Provide advisory support to the Liquid Real Asset business, Asset Managment Coding team and Asset Managment Investment Guideline Monitoring team on the interpretation and implementation of client investment guidelines and regulatory guidelines;
  • Assist in the research and resolution of pre-trade and post-trade investment guideline breaches and regulatory trading issues;
  • Perform comprehensive ongoing reviews of client investment guidelines and coding in the order management system;
  • Assist in the preparation of annual and ad-hoc training to the business;
  • Contribute to the development and perform monitoring/testing of the business’s controls as is relates to trading compliance;
  • Assist in the preparation for prospective and existing client due diligence meetings;
  • Complete and track monthly, quarterly and annual client certifications and questionnaires;
  • Assist in annual compliance risk assessments relating to the Liquid Real Assets business’ controls.


The successful candidate will possess the following skill sets:

  • Bachelors degree;
  • 3 to 5 years of compliance experience, including experience with equities, real estate, hedge funds, infrastructure and private equity products;
  • Strong familiarity with Charles River Trading System, Aladdin Order Management System or other mainstream order management systems;
  • Knowledge of the S.E.C. trading compliance regulations;
  • Previous experience in investment guideline monitoring and/or coding;
  • Strong strategic, problem solving and analytical skills;
  • People skills, leadership qualities and communication skills;
  • Motivated, diligent and excellent writing skills;
  • Ability to work on multiple projects in a fast paced environment.