Support the Compliance team's surveillance, monitoring and testing activities. Assist with federal, state and local regulatory reporting, including FINRA, CFTC and SEC filings. Assist with regional and global ad-hoc projects. Position requires knowledge of relevant US regulations. Responsibilities
- Review exception reports generated by internal compliance systems including employee personal securities transactions under the firm's Code of Ethics.
- Review and update of firm compliance policies and the procedures relating to monitoring and testing of the implementation of those policies.
- Assist in records production in response to regulatory, internal audit or client requests.
- Review daily shareholding records to ascertain whether shareholding disclosure reporting requirements have been triggered.
- Prepare SEC, CFTC and Federal Reserve regulatory filings and ensure timely filing.
- Prepare reports for sub-advisory relationships, institutional due diligence meetings and RFP requests.
- Prepare broker correspondence.
- Prepare and file firm regulatory forms including Form ADV for registered advisers and Form BD for broker-dealers.
- Prepare registration filings for US and Canadian regulators
- Review written communications (including electronic communications) by registered representatives for FINRA and SEC compliance
- BA/BS degree
- 4 or more years of experience working within an Investment Adviser or equivalent experience.
- Strong written and verbal communication skills.
- Experience with investment adviser trading systems required.
- Experience conducting compliance monitoring and surveillance activities.
- A good understanding of the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934.
- General knowledge of the Investment Company Act of 1940.
- Knowledge of Canadian regulation of advisers and broker dealers is a plus.
- Knowledge of MyComplianceOffice preferred.
- Knowledge of Aladdin trading and compliance system preferred.
- FINRA/NFA licenses including any of series 6, 7, 82, 66, 24 and 31 is a plus
Schroder Investment Management North America Inc. complies with the Americans with Disabilities Act of 1990. EEO/Affirmative Action
Schroder Investment Management North America Inc. is an affirmative action-equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, religious creed, age, marital status, national origin, ancestry, sex, sexual orientation, gender identity or expression, intellectual disability, mental disability or physical disability, including, but not limited to, blindness, or protected veteran status.