Compliance Officer
3 weeks ago
The Compliance Officer will assist with the effective implementation and administration of Amherst Capitals compliance program with an emphasis on initiatives relating to the firms mortgage-backed securities strategy.This position works closely with Amherst Capitals Investment Operations and Portfolio Management areas.This position proactively works with subject matter experts to identify and escalate compliance risks and achieve strong compliance results.
In addition, s/he will support the business in developing appropriate controls and procedures to mitigate business and product-specific risks and primarily responsible for developing and performing compliance monitoring/testing of the businesss controls.
Primary Responsibilities:
Assist the CCO in the administration of and ongoing enhancements to all aspects of the firms compliance program, including management of the compliance calendar and oversight of recordkeeping
Conduct compliance risk assessments, testing, and monitoring in accordance with regulatory expectations and best practices
Monitor compliance with all regulatory requirements and investment guidelines of the firms separately managed accounts and mutual funds within the firms order management system (via Bloomberg AIM)
Participate in the coding of client investment guidelines and regulatory requirements in Bloomberg
Research / communicate guideline and trading issues to individuals across the company including Portfolio Management, Operations, and Client Services teams
Train employees (new and existing employees) regarding regulatory compliance requirements
Manage oversight of compliance policies and procedures
Prepare appropriate documentation and respond to compliance questions internally and externally
Review reports, risk indicators, and red flags to identify and propose and implement corrective action
Maintain current knowledge of regulatory requirements and developments, monitor risk, identify and correct possible gaps and weaknesses
Required Skills:
Bachelors degree
3+ years of experience in compliance at an investment management firm (preferably an SEC-registered investment adviser), including experience with real estate or hedge funds
Solid knowledge of Investment Advisors Act, Investment Company Act, and securities laws and regulation
Strong analytical mindset with an ability to synthesize data and quickly identify and resolve issues and with attention given to detail and accuracy
Technical and professional skills or knowledge of testing methodology, risk and controls analysis
Experience with coding investment guidelines in order management systems; Bloomberg AIM a plus
Experience with the review and approval of marketing/advertising materials a plus
Ability to lead and execute multiple projects (short and long term) and tasks independently, accurately, and on time
Experience with drafting, implementing, and testing policies and procedures
Excellent written and oral communication; able to deliver presentations in an articulate and convincing manner
Excellent organizational, problem-solving, decision-making, and time management skills
Advanced proficiency with Microsoft Office Suite
by Jobble
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