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Personal Trading Compliance - Top Tier Institutional Asset Management Firm
The Forum Group
July 22, 2018
New York, New York
Oversee and administer the Code of Ethics and Personal Trading Compliance program:
Manage team to ensure requirements are met
Preclearance, Post Trade Monitoring and Employee Certifications
Maintain relationship with PTA (Personal Trading Assistant) vendor, identify issues, keep abreast of PTA enhancements, and make recommendations to work flows to best utilize the system.
Serve as the Compliance point for SEC, regulatory filings and other reporting (13f, 13g, Form PF, Prudential reporting, etc.)
Maintain the firm's Compliance Policies and Procedures by overseeing a Compliance Policy Working Group
Understand regulatory initiatives and work with the business, management, and legal to maintain policies and procedures.
Create and lead a new Compliance Policy Working Group (CPWC); develop the charter, identify participants, create agenda, and implement annual business certification
Conduct new hire training and lead annual firm compliance training including updating training content and delivery of training to the firm. Develop additional Brainshark training modules as needed.
Oversee Lobbyist Registration and Pay to Play
Administer annual questionnaire, review responses, make recommendations, and present to Ethics Advisory Group
Conduct risk assessments, new product assessments, and work with Prudential as needed
Act as point of contact for conflicts of interest and outside business activities
Serve as point of contact on Anti-Money Laundering (AML)
Serve as Compliance point of contact for Foreign Account Tax Compliance (FACTA) and work with Investment services team to monitor implementation of new rules
Assist with the Compliance Risk Assessment (CRA); identify key controls, work with each department to ensure standard operating procedures exist of if not, work to complete. Partner with Prudential to understand implementation of the Archer system.
Take the lead to understand industry and regulatory events and suggest and implement enhancements to Jennison's Compliance Program.
Attend and present at client and prospective client due diligence meetings covering areas such as code of ethics, personal trading, and political contributions.
Supervise and coach staff
Project work as applicable.
Minimum of 10 years' of relevant experience.
Minimum of 3 years supervisory experience.
Strong understanding of the Investment Adviser's Act of 1940
Must possess: strong communication and organizational skills.
Self-motivated and able to work with tight deadlines.
Strong attention to detail.
Established ability to multi-task, prioritize and organize time effectively in a fast-paced environment.