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Investment & Trade Compliance Specialist
2 months ago
PineBridge Investments is seeking a highly skilled Investment & Trade Compliance Specialist to join our team. As a key member of our Global Compliance Team, you will play a critical role in ensuring the compliance of our asset management business with relevant securities laws and regulations.
Key Responsibilities- Support the Head of Global Investment Compliance with compliance queries, tasks, and projects to strengthen the Investment Compliance globalization process.
- Oversee daily systems checks and ensure proper Compliance advice is given to Traders and Investment Professionals.
- Monitor and resolve Bloomberg systems for Trade Surveillance, Compliance, and Violations management.
- Monitor and resolve Bloomberg AIM (BBG) and Sentry PM post-trade alerts for portfolios and funds.
- Regularly interact with Portfolio Managers and other staff to assist in resolving compliance-related issues.
- Work together with Middle Office, BBG Administrators, and BBG Representatives to resolve data and system issues.
- Thoroughly review client documents and extract compliance restrictions from incorporated guidelines.
- Code, test, and implement BBG and Sentry PM compliance rules derived from client guidelines, regulatory restrictions, and internal mandates.
- Provide support gathering information needed to conduct reviews (internal and external) on client portfolio adherence with investment guidelines and restrictions.
- Review initial contracts/prospectuses and provide feedback on monitoring capabilities.
- Support the Compliance team with general compliance queries ranging from local, regional, and global compliance matters.
- Perform various trade compliance reviews (e.g., fair allocation, trade authorization, account, and best execution reviews).
- Monitor soft dollar activity, including periodic requests for approval.
- Interact with internal and external auditors, and regulators.
- Assist on special projects, perform analysis, forensic testing, and ad hoc assignments.
- Bachelor's degree from an accredited institution.
- Minimum 1-5 years of relevant work experience.
- Familiarity with utilizing a portfolio trade monitoring system in the operations of a registered investment adviser, bank, asset management department, hedge fund, or other financial institution.
- Experience with Bloomberg AIM.
- BASIC understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA, or awareness of other federal regulatory statutes and laws.
- Prior experience reviewing investment management agreements or prospectuses.
- Good understanding of back-office procedures.
- Strong proficiency with PowerPoint and Excel required, including experience using MS Office software.
- Excellent attention to detail with a sense of urgency and follow-through.
- Strong ability to interact effectively with peers.
- Excellent communication and interpersonal skills.
PineBridge Investments is a private, global asset manager focused on active, high conviction investing. We draw on the collective power of our experts in each discipline, market, and region of the world through an open culture of collaboration designed to identify the best ideas. Our mission is to exceed clients' expectations on every level, every day.
We offer a wide range of family-friendly benefits, including comprehensive healthcare, back-up childcare program, and flexible work arrangements. We also provide a competitive retirement plan and tuition reimbursement. Furthermore, we have a robust list of professional development opportunities with the goal of engaging, retaining, and developing our talent.
We value our clients, investment excellence, collaboration with our distributed team members, empowerment, and independence as we honor our heritage and our roots.
