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Compliance Specialist
4 months ago
Responsible for providing the independent monitoring of investment compliance requirements so as to ensure the firms ongoing compliance; advise key business units in related regulatory and client compliance requirements; train investment compliance professionals and key business stakeholders on regulatory and client requirements; and support the management of the investment compliance group by providing guidance and direction to its staff.
Principal Responsibilities:
Using in depth knowledge of regulatory requirements relating to investment compliance for both US and non-US jurisdictions (e.g., 1940 Act Funds, UCITS, ERISA) and by applying an understanding of client requirements, perform the following responsibilities:
Monitor:
* Work on complex, strategic projects and significant regulatory initiatives.
* Actively review and monitor numerous clients' investment guidelines and regulatory restrictions (e.g., Investment Management Agreement, Prospectus, Statement of Additional Information).
* Review and analyze the daily investment compliance monitoring of clients' portfolios and regulated entities employing a variety of automated and manual processes.
* Review, identify and research compliance exceptions from which independent conclusions are made and reasonable solutions are proposed to the senior managers.
* Draft and review business requirements and provide feedback of key rules/reports utilized for compliance monitoring to ensure accuracy of the applicable requirements.
* Work with others in Compliance and across the firm in the review and comment of client investment guidelines and RFPs.
Advise:
* Keep abreast of global regulatory updates and interpretive releases. With senior managers, collaborate with Legal to assess implications of new rules and regulations related to assigned area, apprises others of developments, and recommend courses of action as appropriate.
* Examine department workflow and make recommendations on ways to increase efficiency while maintaining internal controls. Actively seek tools and technology to improve current operations and proposes same to managers.
* Participate in specialized projects that involve interactions across the firm and its subsidiary companies. Address concerns, present solutions and identify ways to mitigate risk exposure.
Train:
* Work with the Investment Compliance team's key customer groups (trading, portfolio management, legal, client operations, investment operations, Portfolio Risk Monitoring, etc.). Research inquiries from same, and provide on-going training on regulations and/or clients' requirements.
* Provide investment compliance training to new employees and facilitate cross training within the team.
Qualifications:
* Bachelor's Degree or equivalent work experience. Must have at least 7 years work experience in investment management, financial services or industry-related compliance experience. Working knowledge of investment management operations and advisory functions is required as is significant prior exposure to investment management operations and its related rules and regulations in a compliance-related function.
* Excellent interpersonal, organizational, communication, customer-service, team-working and problem-solving skills. Must be able to write effectively, and present research, analysis and conclusions in a persuasive manner.
* Proven ability to develop and foster strong interpersonal relationships and to maintain effective cross-functional teams throughout the organization. Demonstrated ability to work effectively with outside parties at all organizational levels. Own the delivery of projects while also operating successfully in a cross-functional, often international, team environment.
* Proven analytical skills with the ability to make independent decisions, develop creative solutions to problems and propose implementation of same is essential.
* Able to effectively drive solutions throughout the organization and present ideas in an effective, persuasive manner. Escalate issues and advocate for solutions.
* Understanding of the business operations and practices, procedures and controls specific to the business units supported is required. Must be aware of best practices as well as evolving issues within scope of the position.
* Solid presentation skills are required.
* Demonstrated project management skills and the ability to analyze operational effectiveness are required.
* Must be proficient in MS Office (Outlook, Word, Excel, PowerPoint) and able to develop proficiency in the firm'ss systems as required to perform the duties of this position, such as Bloomberg. Must be able to conduct on-line research and to utilize applicable tools.
* OMS vendor agnostic. Open to Charles River(CRD), BlackRock Aladdin, Linedata Longview, EZE, Fidessa LatentZero, Sentinel, Miniriva.
