Portfolio Compliance Analyst for CMGR Rule and Coding


Downtown LA

General Information:

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.

Experience & Education:
  • Bachelor's degree, preferably in Business, Finance or Accounting.
  • 3-7 years experience in the investment management field, including experience in trade/portfolio compliance.
  • Knowledge of CMGR/Bloomberg compliance systems is preferred, but not required.
  • A fundamental understanding of the inner workings of pre-trade compliance functionality.
  • Ability to read and interpret governing compliance documents such as IMAs and Prospectus/SAI.
  • Working knowledge of MS Office Outlook and Word; strong Excel skills.
  • Ability to interact professionally at all levels of a tightly-integrated team, including portfolio managers and traders.
  • Strong attention to detail and the ability to function independently.
Please Email:

revi@wallstreetpersonnel.com and attach your resume.


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