Position Overview This position requires a good understanding of US securities regulation, and, in particular the Investment Advisers Act. The successful candidate must be able to support the Compliance team in maintaining a compliance surveillance, monitoring and testing program. The successful candidate should have superior communication and drafting skills in order to draft memoranda and reports to senior management and internal governance committees.
Responsibilities Responsibilities may include all areas of maintaining an investment advisory, commodity trading adviser and broker-dealer compliance program including:
Review exception reports generated by internal compliance systems including employee personal securities transactions under the firm's Code of Ethics.
Review and update of firm compliance policies and the procedures relating to monitoring and testing of the implementation of those policies.
Assist in records production in response to regulatory, internal audit or client requests.
Review daily shareholding records to ascertain whether shareholding disclosure reporting requirements have been triggered.
Review marketing materials relating to the firm's investment capabilities, strategies and funds.
Analyze conflicts of interest situations, including gifts and entertainment questions, outside business activities and political contribution requests.
Prepare SEC, CFTC and Federal Reserve regulatory filings and ensure timely filing.
Prepare reports for sub-advisory relationships, institutional due diligence meetings and RFP requests.
Prepare broker correspondence.
Prepare and file firm regulatory forms including Form ADV for registered advisers and Form BD for broker-dealers.
Prepare registration filings for US and Canadian regulators.
Basic Qualifications
BA/BS Degree
A good understanding of US securities regulation, including the Investment Advisers Act
Strong communication skills, written or spoken, for both one to one and larger audiences
4-6 years of experience working within an investment adviser or equivalent experience
Experience conducting compliance monitoring and surveillance activities
Preferred Qualifications
Experience in a global business whether headquartered in the US or London
Knowledge and experience in preparing for regulatory examinations
Experience with Aladdin or other order management systems helpful but not essential
Experience with Canadian regulatory reporting helpful but not essential
FINRA/NFA licenses including any of Series 3, 6 and 7 is a plus
ADA Schroder Investment Management North America Inc. complies with the Americans with Disabilities Act of 1990. EEO/Affirmative Action Schroder Investment Management North America Inc. is an affirmative action-equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, religious creed, age, marital status, national origin, ancestry, sex, sexual orientation, gender identity or expression, intellectual disability, mental disability or physical disability, including, but not limited to, blindness, or protected veteran status.
