Compliance Officer, Portfolio Management & Trading Compliance
Core
Develop and monitor the SEC Rule 206(4)-7 Compliance Program for investment advisers and sub-advisers, while overseeing daily trade activity monitoring and regulatory reporting.
Role type
Senior IC compliance officer (portfolio management & trading)
Builds
Compliance policies, procedures, and controls for investment advisers and funds
Domain
Financial services / Investment management / Regulatory compliance
Required skills
SEC Rule 206(4)-7 knowledge, investment adviser regulatory compliance, trade allocation monitoring, investment policy statement review, regulatory examination support, vendor management, data retention policies, Bloomberg compliance module proficiency
Preferred skills
Investment management company compliance experience, risk-conscious environment operation, IT proficiency for compliance functions, project management, process optimization
Technologies
Bloomberg, trade order management systems, Microsoft Office
Responsibilities
Develop policies and procedures for best execution and trade allocation; Review daily account data and alerts in the trade order management system; Assist with regulatory examinations and internal audits; Support trading compliance and compliance rule setup; Contribute to weekly, monthly, quarterly, and annual reporting; Identify and communicate relevant regulations to support business success
Seniority
Senior, hands-on IC