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Compliance Officer

2 months ago

New York, New York, United States PineBridge Investments Full time
About the Role

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 the proper Compliance advice is given to both the Traders and Investment Professionals locally and globally.
  • 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 the 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 subsequent updates and provide feedback on the monitoring capabilities.
  • Support the Compliance team with general compliance queries ranging from local, regional, and global compliance matters to continue strengthening the compliance bench.
  • 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.
Requirements
  • 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.