Investment Guideline Compliance
September 12
🏢 In-office - Manhattan
Description
• Interpret and implement client, regulatory, and internal investment guidelines into the Bloomberg AIM compliance system. • Collaborate with various groups at all levels of seniority to interpret investment restrictions within Legal & Compliance, Portfolio Management, Product Strategy and Trading. • Direct the creation of compliance rules within the compliance system and conduct independent reviews of rules created by coding resources, ensuring accuracy and compliance • Research and address inquiries related to investment guidelines from internal and external stakeholders. • Assist with pre- and post-trade monitoring of investment and trading activities to ensure adherence to compliance regulations. • Assess the firm’s guideline monitoring risks and identify breaches to policies. Communicate any identified breaches to portfolio managers for validation and resolution. Log and monitor open breaches, ensuring timely resolution of discrepancies. • Support the client onboarding process by working with institutional advisory services and updating client investment guidelines. Provide regular certifications of investment guideline compliance to clients on a monthly, quarterly, and annual basis. • Review daily alerts from investment management agreements and data systems to validate potential guideline breaches. • Remain current with regulatory matters and assist with regulatory examinations and internal audits. • Take ownership of understanding client accounts, including separately managed accounts (SMAs), sub-advised funds, ETFs, pooled vehicles, and private/hedge funds. • Participate in ad hoc projects relation to investment guideline interpretation and compliance. • Develop and draft policies and procedures related investment guideline compliance.
Requirements
• Bachelors degree • At least 5 years’ of work experience in a similar role • Familiarity and previous experience with Bloomberg AIM a must. • Strong analytical skills and attention to detail. • Excellent communication and interpersonal skills. • Ability to manage multiple tasks and work collaboratively across teams. • Knowledge of federal security laws and investment compliance guidelines.
Benefits
• Competitive base salary and discretionary bonus • Flexible Time Off (i.e. unlimited paid vacation days) • Company paid Holidays (11) • Company paid sick leave • Company-paid health and protective benefits for employees, partners, and other dependents • 3% 401(k) company contribution • Generous paid Parental Leave • Free virtual coaching and counseling sessions through Ginger • Opportunities to learn about the Crypto industry • Free daily snacks in-office • Smart, entrepreneurial, and fun colleagues • Employee Resource Groups
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