Personal Trading Compliance - Top Tier Institutional Asset Management Firm

  • Base salary, bonus and excellent benefits.
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • The Forum Group
  • 13 Aug 18 2018-08-13

Our client, a well regarded investment management firm seeks to a add an experienced member to it's Compliance team to oversee the Firm's Personal Trading Compliance division. This role is an excellent opportunity for a mid-level compliance professional to gain management experience.

  • Oversee  and administer the Code of Ethics and Personal Trading Compliance program:
    • Manage team to ensure requirements are met
    • Preclearance, Post Trade Monitoring and  Employee Certifications
  • Maintain relationship with PTA (Personal Trading Assistant) vendor, identify issues, keep abreast of PTA enhancements, and make recommendations to work flows to best utilize the system.
  • Serve as the Compliance point for SEC, regulatory filings and other reporting (13f, 13g, Form PF, Prudential reporting, etc.)
  • Maintain the firm’s Compliance Policies and Procedures by overseeing a Compliance Policy Working Group
  • Understand regulatory initiatives and work with the business, management, and legal to maintain policies and procedures.
  • Create and lead a new Compliance Policy Working Group (CPWC); develop the charter, identify participants, create agenda, and implement annual business certification
  • Conduct new hire training and lead annual firm compliance training including updating training content and delivery of training to the firm. Develop additional Brainshark training modules as needed.
  • Oversee Lobbyist Registration and Pay to Play
  • Administer annual questionnaire, review responses, make recommendations, and present to Ethics Advisory Group
  • Conduct risk assessments, new product assessments, and work with Prudential as needed
  • Act as point of contact for conflicts of interest and outside business activities
  • Serve as point of contact on Anti-Money Laundering (AML)
  • Serve as Compliance point of contact for Foreign Account Tax Compliance (FACTA) and work with Investment services team to monitor implementation of new rules
  • Assist with the Compliance Risk Assessment (CRA); identify key controls, work with each department to ensure standard operating procedures exist of if not, work to complete. Partner with Prudential to understand implementation of the Archer system.
  • Take the lead to understand industry and regulatory events and suggest and implement enhancements to Jennison’s Compliance Program.
  • Attend and present at client and prospective client due diligence meetings covering areas such as code of ethics, personal trading, and political contributions.
  • Supervise and coach staff
  • Project work as applicable.

 

REQUIREMENTS

 

  • Minimum of 10 years’ of relevant experience.
  • Minimum of 3 years supervisory experience.
  • Strong understanding of the Investment Adviser’s Act of 1940
  • Must possess: strong communication and organizational skills.
  • Self-motivated and able to work with tight deadlines.
  • Strong attention to detail.
  • Established ability to multi-task, prioritize and organize time effectively in a fast-paced environment.