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.
Work within the Investment Portfolio Compliance team to electronically (via Bloomberg AIM) and the firm's own compliance engine ("IPMS") monitor compliance with all regulatory requirements and the investment guidelines of the firm's separately managed portfolios and mutual funds
Participate in the coding if client investment guidelines and regulatory requirements in the Bloomberg and IPMS systems
Communicate guideline/trading issues to individuals across the company including Portfolio Management, Trading, Operations and Client Services
Conduct ongoing reviews of the firm's institutional accounts to ensure compliance with client guidelines
Investigate compliance issues as needed and report findings back to department managers
Perform general compliance and operational risk related functions as instructed
Participate in various legal and compliance projects both regional and global
Minimum of 3 years securities and/or asset management experience
Minimum of 2 years Bloomberg CMGR coding experience or on other similar compliance monitoring systems (e.g. Charles River Development)
Proficient in Microsoft Office Suite
Flexible working hours
Experience in implementing systems and processes
Intermediate or advance MS Excel skills to include V-Lookup formulas
Internal Number: 5619800
About Robert Walters Associates Inc
eFinancialCareers is a career site specializing in financial services.