Our client is a well-established global investment management firm located in New York.Job Summary As a Senior Compliance Analyst on the Portfolio & Trading Compliance team, you will play a pivotal role in ensuring the firm's trading activities and portfolio management processes comply with client guidelines, internal policies, and relevant regulatory standards. This team operates in a dynamic, fast-paced environment that emphasizes collaboration with investment staff and other internal teams. Key Responsibilities
- Collaborate closely with portfolio managers and traders to resolve portfolio exceptions and address queries related to trading activities.
- Participate in the new account setup process, including guideline coding and changes.
- Act as a lead participant in system enhancements, upgrades, and implementations affecting compliance.
- Review broker restrictions and ERISA eligibility for initial and secondary offerings.
- Monitor equity portfolio guidelines and restrictions daily using the firm's proprietary compliance monitoring system.
- Prepare monthly and quarterly compliance reports for clients, ensuring timely and accurate reporting.
Qualifications
- Bachelor's degree
- 3-5 years of relevant experience in investment compliance or related fields.
- Strong knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and other regulatory requirements. Experience with foreign regulations is a plus.
The salary range is between $100,000-$130,000 depending on experience. For more information, please reach out to Josh Delgado at ...@trevosepartners.co m
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