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Compliance Associate


This is a Contract position in Austin, TX posted July 28, 2021.

COMPANY: Asset Management POSITION: Compliance Associate LOCATION: New York, NY COMPENSATION: (DOE) Discretionary Bonus Benefits BACHELOR’S DEGREE: Required Our client, a well-established investment management firm that was founded over 30 years ago, is seeking a smart, driven Compliance Associate to add to their team and reporting into the Chief Compliance Officer.

This individual will perform portfolio and trade surveillance to ensure that the Firm maintains compliance with client guidelines and regulatory requirements, including post-trade Compliance oversight.

This individual will also contribute significantly to the administration of the Firm’s limited purpose broker-dealer and maintaining certain data sets including ESG, OFAC, and other restricted securities.

This is an exciting opportunity to join a busy and dynamic team with a strong track record.

Responsibilities of Compliance Associate:
– Conduct transactional, forensic testing and compliance reviews for broker/dealer, adviser, and fund portfolios.

– Oversight and timeliness of the compliance testing and monitoring program under the supervision of the Compliance Director.

– Assist with mutual fund trade restrictions, guidelines, and 1940 Act limitations on Charles River OMS.

– Assist with pre-trade and post-trade and end of day batch investment compliance monitoring activities for client accounts and mutual fund portfolios.

– Complete testing in all compliance areas to include, TCA, insider trading surveillance, market manipulation surveillance, compliance with firm policies, etc.

Collect, review and organize information to support test results.

Suggest new tests to be developed.

– Assist in preparing weekly, monthly and quarterly compliance reports and certifications for assigned accounts.

– Interact on real-time basis with portfolio managers in an active trading environment.

– Assist in answering sub-advised clients’ DDQs, and respond to other compliance inquires.

– Maintain Firm’s security master database including restricted securities (MNPI) across multiple applications.

Requirements of Compliance Associate:
– Bachelor’s Degree required.

– 4 years of experience in a compliance or related function, preferably at an asset management firm
– Experience with compliance monitoring, testing, documenting results and escalating issues.

– Working knowledge of the investment adviser and/or broker dealer (i.e., compliance monitoring, fund accounting/administration, risk management, security operations, etc.)
– Knowledge of regulatory environment and some level of specific regulatory requirements for the Financial Services industry.

– Working knowledge of automated daily pre-trade compliance systems (i.e., Bloomberg, Charles River, Sentinel/Latent Zero, etc.)
– Ability to handle multiple responsibilities across multiple entities and work independently.

– Ability to interact professionally and effectively with internal and external contacts using tact, discretion and good judgment.

– Ability to manage high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.

– Excellent analytical and research skills.

– Expertise in MS Office Suite (Outlook, Excel, Word & PowerPoint)
– Ability to work in team oriented environment.

– Excellent written and verbal communication skills.

– Ability to prioritize and organize workload, multi-task and adapt quickly to change, and deliver under the pressure of deadlines.

– Verification of identity, education, prior employment, and references may be required

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