EXTERNAL CLIENT ROLE
We are seeking an exceptional individual to join our Compliance team as a Forensic Testing Associate. The Associate will be responsible for contributing to the goal of excellently fulfilling regulatory obligations, with primary focus on the Investment Engine, the cornerstone of the portfolio management and construction process. The Associate will work closely with multiple front office groups and will need to gain a deep understanding of their activities, systems, and processes, as well as relevant regulatory considerations. The Associate will also be responsible for oversight of certain processes executed by personnel and the back office as part of their testing and filing responsibilities.
This individual will work closely with the Senior Compliance Officer who supervises the Investment Pillar and will regularly engage with the Chief Compliance Officer and other senior members.
• Oversight and execution of a suite of tests monitoring activity and processes in the Investment Engine, which involves evolving existing tests, designing new ones as needed, and analyzing the results to provide a synthesized view of the effectiveness of internal processes and compliance with relevant requirements
• Assisting the Senior Compliance Officer in delivering and systemizing guidance applicable to investment functions such as trading execution, portfolio management and investment research
• Ensuring timely and accurate delivery of regulatory filings, which includes oversight of processes executed by operators within the front and back office
• Bachelor’s degree in a relevant field of concentration with exemplary academic performance
• 2+ years of relevant work experience at a financial institution, consulting company, auditor or regulator
• Basic knowledge of traded products (bonds, futures, FX, equities, swaps, options)
• Comfortable with technology and generally able to learn new software and systems quickly
• Demonstrated ability to execute and complete projects with limited supervision
• Effective verbal and written communication skills
• Data management or analysis experience
• Excellent spreadsheet modeling and Excel skills
• Familiarity with Bloomberg API for excel
You will be a click for this role if you are:
• Organized and reliable. Able to juggle multiple streams of work, keep things on track and consistently meet deadlines for processing work in a fast-paced dynamic environment, with a strong attention to detail
• Self-aware, reflective, and able to learn from mistakes. Show an ability to learn quickly while on the job and through formal training
• Professional and discrete. Able to handle confidential information appropriately and liaise with colleagues effectively
Training and Advancement Opportunities:
• An individual successful in this role may have the opportunity to enroll in an internal training class designed for associates in investment engine. The class covers market fundamentals, mechanics of financial securities, and portfolio management theory.