- 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
- 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.