Portfolio Compliance Analyst

  • Location: New York, NY, New York
  • Type: Perm (Contingency)
  • Job #31403

Compensation: $100,000-$120,000 + bonus

Location: New York, NY

Global investment management firm is looking for an exceptional Portfolio Compliance Analyst to grow with the company. As a member of the Operations team, you will work closely with members of the Portfolio Accounting, Portfolio Implementation, Trading, and Trade settlement teams.

Highlights About the Company & Position:

  • Maintain standards of excellence by adhering to all firm, strategy, and client-directed guidelines and ensure trade compliance for both pre-trade and post-trade evaluations.
  • Ensure the highest level of quality control through a detail-oriented setup of portfolio compliance rules and review of all securities added to the database.
  • Support internal personnel with operational inquiries to achieve company standards of excellence.
  • Work as an engaged member of the Operations Department to fulfill the business goals and report all compliance matters directly to the Chief Compliance Officer.
  • Assist with monthly, quarterly, and annual client compliance attestations.
  • Review and interpret all account governing documents
  • Ensure accuracy and completeness of client portfolio guidelines in the Portfolio Management System as part of the setup and ongoing administration of accounts.
  • Create, test, and document new compliance rules in the Portfolio Management System.
  • Produce summary reports regarding portfolio compliance for the Head of Operations and the Chief Compliance Officer.
  • Construct and maintain pre- and post-trade controls designed to identify and prevent breaches of client and regulatory guidelines
  • Monitor daily pre-and post-trade compliance using electronically coded alerts to identify and escalate potential breaches.
  • Produce daily, weekly, and monthly trade surveillance and outlier reports.
  • Monitor for potential trade errors, portfolio pumping, and market irregularities.
  • Assist with monitoring and maintaining foreign ownership disclosure rules and filings.
  • Respond effectively to client inquiries, including class action reporting, using all internal resources available.
  • Review the setup of all securities added to or changed in the database while following internal procedures.
  • Create and maintain controls to streamline workflows and ensure compliance with all relevant operational policies and procedures.

Requirements/Qualifications:

  • College degree preferable in a related field.
  • 2 to 3+ years of Portfolio/Asset Management Compliance experience.
  • Interest in learning and executing our value investing strategy.

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.

Attach a resume file. Accepted file types are DOC, DOCX, PDF, HTML, and TXT.

We are uploading your application. It may take a few moments to read your resume. Please wait!

Job ID: 31403