CRD Compliance Consultant

CRD Compliance Consultant

Compliance

Burlingame, CA

JO-

Seeking an experienced Investment compliance professional. The Compliance Analyst will assist in the implementation and maintenance of the compliance system to monitor client investment guidelines and restrictions. The Compliance Analyst will report directly to the Chief Compliance Officer (CCO). The successful candidate will coordinate with Portfolio Managers, Traders, Client Service, Operations, Technology and Legal personnel to communicate and resolve investment guideline compliance issues.

Primary Responsibilities:

• Assist in the implementation and maintenance of the Compliance System
• Monitor compliance with client investment guidelines and restrictions including:
• Ensuring proper restriction coding in our order management systems
• Testing new and existing investment restrictions
• Ensuring timely and accurate implementation of applicable investment guideline updates
• Review all new investments to identify any environmental, social or governance (ESG) issues or restrictions
• Perform daily pre and post trade investment compliance monitoring and coordinate with Portfolio Managers, Traders, Client Service, Operations, Technology and Legal personnel to communicate and resolve investment guideline compliance issues

Qualifications:

• Seeking candidates with high levels of academic and professional achievement and leadership ability.
• Four year college degree (B.A. or B.S.) with an excellent academic record
• 1-3 years of experience of Investment Adviser/Investment Company compliance or internal audit experience
• Experience coding investment guidelines and restrictions and performing post trade compliance monitoring required
• Strong analytical and problem-solving skills as well as excellent written and verbal communication skills
• Detail oriented with effective follow-up skills
• The ability to exercise sound judgment and to prioritize responsibilities to meet deadlines
• Knowledge of trade order management and compliance systems (Latent Zero, Charles River, Eze, etc.) preferred
• The ability to work independently on assigned responsibilities, as well as to accept direction on assignments
• Willingness to assist in performing other compliance-related analytical tasks
• The ability to work effectively as part of a team and foster the strong culture of compliance
• Experience/knowledge of fixed income asset classes, security type and derivatives. Candidates with CFA or MBA are highly desirable