The Portfolio Compliance Analyst will assist the team with monitoring compliance program as it relates to the oversight and due diligence review of the duties and responsibilities of a registered investment advisor and registered investment companies.
Perform pre- and post-trade compliance monitoring for all asset classes on commingled funds, separately managed accounts and registered funds.
Develop, test and implement automated rules within the monitoring systems and manual monitoring procedures for non-automated rules.
Work with IT, Data, and external system vendors to identify ways to further improve automation in the compliance systems.
Review investment guidelines for separately-managed accounts as well as the investment objectives and parameters of affiliated or sub-advised open-end and closed-end mutual funds.
Act as back-up to existing portfolio compliance personnel.
firstname.lastname@example.org and attach your resume.