Buy Side Compliance

Responsibilities:

• Daily monitoring of equity portfolio guidelines and restrictions using proprietary compliance monitoring system
• Participating in the new account setup and guidelines coding/change process
• Liaise with Portfolio Managers and traders to help resolve portfolio exceptions and questions related to trading activity.
• Lead participant on system enhancements, upgrades, implementations that impact compliance
• Reviewing initial and secondary offerings for broker restrictions and ERISA eligibility
• Preparing client reporting including monthly and quarterly compliance reports for mutual funds clients
• Working closely the Client Advisory Group, Legal, Portfolio Management and Technology in onboarding
• client accounts and developing internal and external reports for clients

Requirements:

▪ Bachelor's degree with a minimum of 3-5 years of relevant experience

▪ Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and other regulatory requirements and/or experience with foreign regulations

▪ Solid working knowledge and understanding of capital markets; experience with equity

instruments; proprietary or vendor compliance systems

▪ Ability to operate in a both transactional and strategic way