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An asset management firm is seeking a Senior Portfolio Compliance Surveillance Professional. This role is responsible for monitoring current holdings and daily trading activity against client guidelines, restrictions, internal policies, and other relevant regulatory requirements. In addition, this individual will be involved in the coding of restrictions, reporting, trade oversight and strategic projects.
Review systematic feasibility of investment guidelines and provide guidance/expertise as it relates to coding in Eze, the compliance monitoring system. Develop and test automated rules in Eze, and any associated manual monitoring needed. Review EOD portfolio compliance results, identify and resolve any compliance issues. Work with Client Services, Compliance, Legal, Portfolio Management and Information Technology to respond to client requests for reporting; develop internal and external reports to respond to client requests. Identify ways of improving processes in the investment compliance program. Effectively participate in internal and external audits of controls, system upgrades and associated testing, including the SSAE16. Prepare materials, broker approvals and soft dollar services approvals for firm Trading Committee, which is responsible for all trading related policies and procedures, including best execution, trade allocation and trade errors. Prepare and finalize regulatory filings – 13G, 13H. Monitor manual rules of client account restrictions, that cannot be tested systematically, based on the frequency determined by the control's risk assessment. Undertake special compliance-related projects as assigned.
Bachelor's degree with minimum 5 years of relevant experience, 2+ years of rules coding experience (preferably in Eze). Working knowledge of capital markets; experience with fixed income, equity and derivative instruments. Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934. Proficiency in Bloomberg and other major software applications. Series 7 preferred.