Greenwich, CT 06830 US
High End Mid-Sized Fund seeks Compliance Associate with 1-3 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
Specifically, you will:
- Interact on real time basis with Portfolio Managers and Traders in an active trading environment
- 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, UCITS restrictions and monthly systems maintenance
- Assist with compliance program; onboard new employees to ComplySci, set up employee broker feeds to ComplySci, review personal trading, ensure all brokerage feeds are live, assist with the annual distribution and collection of employee attestations to policies
- Conduct testing in all compliance areas including testing and/or reviewing: employee personal trades, best execution (equities and foreign exchange), proxy voting, cash and position reconciliations, auditing trade confirmations, window dressing testing, and AML review using Refinitive World Check.
- Assist with the preparation of regulatory filings such as Form 13F, Form 13H, Form ADV, Form PF
- Assist with code of ethics monitoring
- Assist in answering clients’ and prospect Due Diligence Questionnaires and responding to other compliance inquires
- Assist with the quarterly billing process for separately managed accounts
- Assist with annual SOC controls audit
- Completed Bachelor’s degree with 1-3+ 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
- 40 Act Fund Compliance experience preferred but not required
- 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
Great benefits, hyrid onsite 3 days per week.