Senior Compliance Analyst


Company:: The Forum Group
Location:: New York City, NY
Job Type:: Full Time
Category:: Asset Management

Yrs of Exp:: 2+ to 5 years
Posted:: 5/9/2013

Related Jobs

APPLY NOW

Job Description

Responsibilities:

Review Fund and Account contracts including; investment management agreements, investment policy statements, mutual fund prospectus and SAI documents to analysis and interpret necessary restrictions.

Set up guideline coding restrictions for new Funds and Accounts independently or requiring little oversight

Perform secondary review of existing guideline coding for accuracy and modify guideline coding accordingly.

Test potential guideline rules and proposed enhancements to the proprietary compliance restriction system to ensure accuracy before implementation.

Assist Client Service and Client accounting departments by helping resolve and communicate to clients regarding any compliance-related

Liase with Portfolio Managers to help negotiate contracts and resolve portfolio exceptions and questions related to trading activity.

Perform daily compliance oversight by analyzing and validating exceptions to document situation and propose required actions

Report actual violations accurately and timely follow through to resolution

Prepare customized monthly, quarterly client and mutual fund compliance reports.

Review forensic reports in an effiort to affirm investment guideline compliance

Offer back-up to other members of the Compliance Department on an as-needed basis.

Qualifications:

A Bachelors degree from a competitive school; course work in Finance, Mathematics, or Economics is preferred.

At least 2 years experience coding institutional client guidelines in a sophsticated restriction system such as Charles River or Latent Zero Sentinel.

At least 3 years at an investment management firm working in any combination Compliance, Portfolio Administration, Operations or Risk Management.

APPLY NOW