Compliance Analysis recruitment
New Hire Requirements
Personal – Educational
- Attention to detail
- Good math/analytical skills. Strong written/verbal skills
- Two years of experience within the securities industry
- Willingness to perform all levels of duties
- Accounting/business background. At least one finance/securities class
- Basic Microsoft Office skills
- Prefer Bloomberg CMGR experience
Assignments
- Invoices
- Proxies
- Weekly Policy Committee reports
- Updates to semi-annual and annual reports and prospectus
- Updates to after-tax returns
- Prepare month-end holdings files for distribution
- Month-end report preparation
- Cash Reserves monthly reports
- Month-end trader pricing approval
- Update/review approved broker/counter party lists
- Internal Auditing
- Reconcile funds
- Block Trade review
Backup Assignments
- FINRA advertising
- Futures trades
Job description: As a member of the compliance team, you will interact daily with Traders and Portfolio Managers on compliance matters. You will prepare a wide variety of reports for clients, industry consultants, and internal users. You will conduct compliance reviews of company policies, test operational processes and identify areas of risk. The review process requires detailed analysis and documentation.
A successful candidate will have strong written and verbal communication skills, math and analytical skills, and will be detail oriented. The candidate must take independent ownership of assigned projects.
Requirements: Minimum 2 years in the securities/investment management industry. Basic Microsoft Office skills.
Preferred: Experience with Bloomberg AIM system, specifically CMGR. Compliance experience.
Payden Rygel (www.payden.com) is one of the largest privately owned investment managers with $60 billion in assets under management. Founded in 1983, we are a leader in the management of fixed income and equity portfolios.