CRD Compliance ConsultantComplianceBurlingame, CAJO- Seeking an experienced Investment compliance professional. The Compliance Analyst will assist in the implementation and maintenance of the compliance system to monitor client investment guidelines and restrictions. The Compliance Analyst will report directly to the Chief Compliance Officer (CCO).
The successful candidate will coordinate with Portfolio Managers, Traders, Client Service, Operations, Technology and Legal personnel to communicate and resolve investment guideline compliance issues.Primary Responsibilities:Assist in the implementation and maintenance of the Compliance SystemMonitor compliance with client investment guidelines and restrictions including:Ensuring proper restriction coding in our order management systemsTesting new and existing investment restrictionsEnsuring timely and accurate implementation of applicable investment guideline updatesReview all new investments to identify any environmental, social or governance (ESG) issues or restrictionsPerform daily pre and post trade investment compliance monitoring and coordinate with Portfolio Managers, Traders, Client Service, Operations, Technology and Legal personnel to communicate and resolve investment guideline compliance issuesQualifications:Seeking candidates with high levels of academic and professional achievement and leadership ability.Four year college degree (B.A. or B.S.) with an excellent academic record1-3 years of experience of Investment Adviser/Investment Company compliance or internal audit experienceExperience coding investment guidelines and restrictions and performing post trade compliance monitoring requiredStrong analytical and problem-solving skills as well as excellent written and verbal communication skillsDetail oriented with effective follow-up skillsThe ability to exercise sound judgment and to prioritize responsibilities to meet deadlinesKnowledge of trade order management and compliance systems (Latent Zero, Charles River, Eze, etc.) preferredThe ability to work independently on assigned responsibilities, as well as to accept direction on assignmentsWillingness to assist in performing other compliance-related analytical tasksThe ability to work effectively as part of a team and foster the strong culture of complianceExperience/knowledge of fixed income asset classes, security type and derivatives. Candidates with CFA or MBA are highly desirable