Compliance Officer 

New York, NY

Responsibilities

 

  • Maintain and monitor the policies and procedures of the Fundamental Equity team. This includes monitoring the position holdings and facilitating any requiring SEC filings
  • Assist in developing, monitoring, testing, and enforcing Compliance policies and procedures
  • Assist in the oversight and monitoring procedures relating to the receipt of material non-public information
  • Administer all aspects of the firm’s Insider Trading Policy, including maintaining the restricted trading list (“RTL”), the “watch” list and liaising with the Front Office and Asia
  • Star Compliance (Compliance Database and Monitoring system) administration and monitoring
  • Broker Feeds
  • Logical access controls/entitlements review
  • Testing of all system upgrades
  • Help administer all aspects of the firm’s Code of Ethics, including employee trade pre-approval requests, surveillance, initial and annual reports and certifications, maintained in the StarCompliance system
  • Maintain and monitor compliance with portfolio investment guidelines
  • Conduct weekly email review
  • Interface with parent company counterparts on compliance issues and projects
  • Monitor trade execution quality review process and enforce and administer the Best Execution policy
  • Monitor and enforce Fair Allocation policy and procedures

 

Requirements

 

  • 3-5 years compliance experience at an Investment Advisor
  • Minimum Bachelor’s degree

 

 

 

 

 

Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 2/8/2021
Salary $120,000 - $140,000 + bonus







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