The Investment Management division of a major investment banking and financial institution seeks a Compliance Surveillance professional.
The Investment Management division of a major investment banking and financial institution seeks a Compliance Surveillance professional. The main duties of this role are a combination of proactive servicing, problem solving, proactive risk mitigation and project work, and daily surveillance tasks.
- Proactively identify process improvement and risk mitigation opportunities within the function locally and globally, and work effectively with global portfolio surveillance, management, Technology, and other groups to effect enhancements as appropriate.
- Lead local and global projects that are aimed at improving service levels to the front office and improve the overall effectiveness of our surveillance systems and process/procedures.
- Proactively service Portfolio Managers and Traders without jeopardizing fiduciary responsibilities, seeking ways to enhance the overall effectiveness of guideline compliance for them. Conduct regular service meetings and proactively provide updates on progress. Effectively partner with Portfolio Managers and Traders to proactively strengthen surveillance process when appropriate.
- Proactively work to improve knowledge of global regulatory compliance rules including 40 Act and UCITS.
- Perform daily surveillance of separately managed accounts, mutual funds, and products subject to ERISA, 40 Act and UCITS. Work with other members of the global team to support the global investment and trading process.
- Promptly review, analyze, and resolve issues relating to compliance engine-generated pre- and post-trade alerts and warnings.
- Review prospective and existing client investment management agreements in relation to firm requirements.
- Timely prepare responses to monthly and quarterly client certifications and client questionnaires.
- 5-7 years relevant portfolio surveillance experience.
- Ability to work and communicate effectively with investment management staff, including portfolio managers and traders.
- Strong analytical and creative problem solving skills; continuous process improvement and risk mitigation mindset is a must. Project management experience is key.
- Proactive; resolves issues with a sense of urgency; willingness to take on challenges and projects; detail oriented with ability to effectively multi-task, prioritize, and produce results.
- Fixed income and equity product / trading / market practices knowledge are helpful. UCITS and Advisers Act / Company Act knowledge is a plus.
- Knowledge of compliance engines (Sentinel and Aladdin) is strongly preferred.
- High integrity, reliability, and collaborative outlook to support development, implementation, and enhancement of global policies and practices.
- BS or BA education required.
Please email resumes to Jack Kelly at email@example.com.