Portfolio Compliance Associate

Full Time

Madison-Davis

EXTERNAL CLIENT ROLE

The Portfolio Compliance team performs holdings-level analysis to detect any guideline breaches in client and fund portfolios and monitor all outstanding compliance issues from time of breach through resolution.  The Analyst will have broad exposure to the entire Investment Guideline Compliance process.  Individuals in this position will have frequent interaction with a variety of groups at all levels of seniority including other teams within Legal & Compliance, Technology, Account Management, Product Strategy and the Trade Floor.

RESPONSIBILITIES 

  • Analyzing account transactions and portfolio holdings in order to conduct full compliance verification for all public funds and separate accounts
  • Researching potential compliance issues and working with Account and Portfolio Management to resolve outstanding violations.
  • Preparing relevant client reporting
  • Researching and addressing various inquiries related to investment guidelines
  • Participating in numerous ad hoc projects such as process developments and improvements, scenario analysis, and technology testing.

POSITION REQUIREMENTS 

  • Minimum of a Bachelor’s Degree (Accounting, Business, Finance or Economics preferred)
  • 1 – 3 years of professional experience in compliance or the investment management industry
  • Basic knowledge of the global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and derivatives.
  • Intermediate/advanced working knowledge of MS Excel.

PREFERRED QUALIFICATIONS

  • Experience monitoring portfolios in a compliance system is ideal
  • Knowledge of the Investment Company Act of 1940, UCITS, or other common legal/regulatory practices is a plus
  • Exposure to querying, particularly with SQL and Business Objects
  • Experience with Bloomberg, MS Access and VBA
  • CFA designation or active status in the CFA program is a plus

PROFESSIONAL SKILLS REQUIREMENTS 

  • Have a strong sense of honesty and integrity
  • Quick learner and adaptable to learn new processes, concepts, and skills
  • Maintaining a strong commitment to quality and attention to details; ensuring that relevant work product is complete, accurate and on time.
  • Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization
  • Ability to multi-task, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output
  • Highly motivated self-starter with the ability to work collaboratively and independently
  • Desire to take initiative and contribute to the department and the organization
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