Compliance Manager

Primary Responsibilities:

  • Assist the Global Head of Investment and Trade Compliance in analyzing , implementing and monitoring compliance with policies and procedures.
  • Work together with Legal, Internal Audit and Global Risk on regulatory changes, inquiries and examinations, risk assessments, monitoring and surveillance
  • Monitor and resolve Bloomberg AIM (BBG) and Sentry PM post-trade alerts for portfolios and funds.
  • Regularly interact with Portfolio Managers and other staff to assist in resolving compliance-related issues
  • Thoroughly review client documents and extract compliance restrictions from the incorporated guidelines
  • Code, test and implement BBG and Sentry PM compliance rules derived from client guidelines, regulatory restrictions and internal mandates
  • Provide support gathering information needed to conduct reviews on client portfolio adherence with investment guidelines and restrictions
  • Review initial contracts/prospectuses and subsequent updates and provide feedback on the monitoring capabilities
  • Perform various trade compliance reviews (e.g. fair allocation, trade authorization, account and best execution reviews).
  • Monitor soft dollar activity.
  • Assist on special projects and ad hoc assignments

Qualifications:

  • Bachelor's degree from an accredited institution.

7-10 years of relevant work experience in investment and trade compliance

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.

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