The client is a London based Asset Manager, with offices in New York, London, Tokyo, Hong Kong, Taipei and Mumbai. They are seeking a compliance professional for the asset management business and specifically the provisions of relevant securities laws. The successful candidate should be able to monitor client portfolios and perform the daily compliance of the asset management business in accordance with the relevant internal policies and procedures.
1. Monitor and resolve Bloomberg AIM (BBG) and Sentry PM post-trade alerts for portfolios and funds.
2. Regularly interact with Portfolio Managers and other staff
3. Work together with Middle Office, Administrators and Representatives to resolve data and system issues.
4. Thoroughly review client documents and extract compliance restrictions from the incorporated guidelines
5. Code, test and implement BBG and Sentry PM compliance rules derived from client guidelines, regulatory restrictions and internal mandates.
6. Provide support gathering information needed to conduct reviews on client portfolio adherence with investment guidelines and restrictions.
8. Perform various trade compliance reviews (e.g. fair allocation, trade authorization, account and best execution reviews).
To apply you msut have:
Bachelor's degree from an accredited institution.
- 3 to 5 years of relevant work experience.
- Experience with using a portfolio trade monitoring system in the operations of a registered investment adviser, bank, asset management department, hedge fund or other financial institution.
- Experience with Bloomberg AIM and Sentry PM is highly desirable
- Basic understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA or awareness of other federal regulatory statutes and laws.
- Prior experience reviewing investment management agreements or prospectuses.