Compliance - Investment Guidelines and Restrictions

Description:
Prestigious Asset Management Firm seeks professional for Compliance - Investment Guidelines and Restrictions.

Responsibilities:Acting as a liaison with Portfolio Managers to mitigate the impact of compliance violationsResearching and validating the accuracy of compliance restrictions, interpreting compliance guidelines into operational procedures, coding and testing all systems, reporting results to interested parties and assisting in their resolveOffer back-up to other members of the Compliance Department on an as-needed basisAct as primary interface with Portfolio Managers and Client Accounting on compliance-related issuesReview and understand client account agreements and mutual fund prospectus investment guidelinesPerform daily compliance oversight (review and research exceptions)Report actual violations accurately and timely and follow through to resolutionSet-up restrictions for new accountsMaintain existing accounts

Qualifications:3 + years market-related experience gained from any combination of Portfolio Administration, Operations, Compliance or Risk Management exposureSystems: experience with trading, compliance and accounting systems as well as Microsoft office products and industry products such as BloombergBachelor's Degree - ideally in FinanceAbility to build upon existing experience and articulate findings and recommendations to department managers (4381B~)

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