Associate, Portfolio Compliance

  • Base saalry, bonus and excellent benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 15 Feb 19

Our client, a well regarded investment management firm and broker dealer seeks to add a talented Compliance professional at the Associate level. Responsible for monitoring current holdings and daily trading activity against client guidelines, restrictions, internal policies/procedures, and relevant regulatory requirements for our proprietary mutual funds and registered investment advisers. In addition, this individual will be involved in the coding of restrictions, reporting, trade oversight and strategic projects.

~Major Responsibilities/Activities:
• Review and evaluate compliance alerts in Eze OMS
• Portfolio Manager Certifications
• Assist with monitoring manual rules of client account restrictions
• Contribute to internal and external audits of controls, system upgrades and associated testing, including SSAE18
• Assist with preparation and finalization of regulatory filings 13F, 13G, and 13H
• Monitor FCM counterparty exposure
• Trade Error/Breach investigation and documentation
• Foreign ownership disclosure filings
• Policies and Procedures/Testing investigation, review and implementation
• Various projects as needed
Minimum Requirements:
• 2-5 years compliance experience, in an asset management organization
• Bachelor’s degree required
• Very strong analytical, organizational and project management skills
• Excellent verbal and written communication skills
• Ability to work in a team setting and to interact with personnel from all levels of the organization
• Ability to multi-task and prioritize workload to meet deadlines in a fast-paced, dynamic environment while exercising excellent judgment
• Highly motivated, detail-oriented and able to work independently
• Must be willing to obtain Series 7 license within 12 months of hire