CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
The core responsibilities of the Guidelines and Restrictions team are: 1) monitoring investment guideline compliance for institutional separate accounts (ERISA and non-ERISA), commingled trusts, mutual funds and hedge funds, and 2) performing daily / weekly /monthly forensics to ensure the firm's trading activities comply with Firm's policies and procedures and all regulations.
Client Documentation Reviews and Guideline Coding
Participate actively in account onboarding, including negotiation of guidelines with client
Review Fund and Account contracts documents including investment management agreements, investment policy statements, mutual fund prospectus and SAI documents to analyze and interpret necessary restrictions.
Set-up guideline coding restrictions for new Funds and Accounts independently or requiring little oversight.
Perform secondary review of existing guideline coding for accuracy and modify guidelines coding accordingly.
Test potential guideline rules and proposed enhancements to the proprietary compliance restriction system to ensure accuracy before implementation.
Assist Client Service and Client Accounting departments by helping resolve and communicate to clients regarding any compliance-related issues.
Liaise with Portfolio Managers to help resolve portfolio exceptions and questions related to trading activity.
Perform daily compliance exceptions monitoring by analyzing and validating exceptions.
Report actual violations accurately and timely and follow through to resolution.
Prepare customized monthly, quarterly client and mutual fund compliance reports.
Compliance Monitoring and Reporting
Perform a variety of forensic testing to ensure compliance with regulations and Firm's policies and procedures. This includes forensic testing on: