28 Nov
Compliance Associate
Vacancy expired!
High End Mid-Sized Fund seeks
Compliance Associate with 3-5 years of experience.We are looking for an energetic, organized, detail-oriented individual who is highly motivated and enthusiastic joining a small tight knit Compliance team where you will help to manage the daily, weekly, monthly, and quarterly deliverables.These responsibilities focus on portfolio and trade surveillance to ensure that the firm maintains compliance with client guidelines and regulatory requirements, conducting transactional, forensic testing and compliance reviews.This is a great career opportunity with a firm that offers extensive professional training and the opportunity for advancement. In summary you will assist in supporting senior Compliance members in the following areas:- Pre and post trade investment compliance monitoring
- Compliance program monitoring and testing
- Code of ethics monitoring
- Preparation of regulatory filings (13F, ADV, Form PF)
- Trade surveillance
- Adhoc projects
- Assist with pre and post-trade investment compliance monitoring activities for client accounts and mutual fund portfolios using EZE Compliance. This includes client guidelines, mutual fund trade restrictions and UCITS restrictions.
- Completed Bachelor's degree with 3-5 years of Compliance experience, preferably in Investment Management or with a Consulting Firm that services Investment Managers.
- Familiarity with the following programs strongly preferred: EZE Compliance, ComplySci, Bloomberg, Refinitive World Check
- Extensive Compliance experience related to Equities and/or Global Equities
- Excellent attention to detail while working through tight timelines and strict deadlines
- Ability to prioritize, organize and manage multiple tasks in a professional, fast-paced environment
- The ideal candidate is hard-working, driven, smart, accountable, efficient, humble, and collaborative.
- Problem solver and strategic thinker; strong problem recognition and resolution skills
- Excellent communication skills (verbal and written)
- Strong work ethic and professional demeanor
- Strong analytical skills
Vacancy expired!