Compliance Analyst
- Trading Reviews/Forensic Testing
- Review and enhancement of forensic testing for trade related polices (e.g. allocation of investment opportunities, trade target, etc.).
- Point person for follow up and documentation for Portfolio Manager Trade Rejections.
- Point person for following up and documentation for Trader Conflict exceptions.
- Develop, test and own monitoring for Window Dressing and Portfolio Pumping.
- Review Performance Dispersion reporting.
- Investment Research Meetings Expert Network Analysis
- Review reporting to monitor for potential misuse of material non-public information (MNPI) for firm and personal (employee) trading including:
- Review and analyze data from Firm's sell side brokers related to conferences and meetings investment professionals attend with corporate insiders to determine if MNPI was received based on correlation with trading activity.
- Review Expert Network meeting logs and analyze for MNPI.
- Review reporting to monitor for potential misuse of material non-public information (MNPI) for firm and personal (employee) trading including:
- Best Execution Reviews Trade Management Overview Committee
- Point person for meeting with Abel Noser reviewing past quarter execution quality. Should bring insight to outlying trades and be able to help draft memo’s regarding questions on outliers.
- Review currency execution reports and analyze for trends.
- Prepare Trade Management Overview Committee agendas and related materials.
- Review annual Greenwich survey to determine peer group and provide insight into trading trends.
- Trade Errors and Corrections
- Point person for sign off on trade correction forms.
- Daily review of the Trade Correction reports.
- Other
- Assist in client reporting, due diligence questionnaires and providing information for RFPs.
- Back up to post trade conflict reviews for Side by Side Monitoring of the alternative strategies.
- Perform daily compliance oversight by analyzing and validating exceptions to detail situation and document required actions.
- Participation in other firm projects as relevant.
REQUIREMENTS
- Bachelor’s Degree
- Minimum of 3 year’s relevant experience
- Experience with trading, compliance and accounting systems such as Linedata, LatentZero.
- Experience with Microsoft office products and industry products such as Bloomberg
- Strong ability to develop effective working relationships with investment staff and make articulate recommendations to department managers regarding potential solutions to issues.
- Highly motivated and dedicated.
- Energized by a fast-paced environment that is research oriented and places emphasis on the importance of personal accountability while fostering a stimulating and enjoyable working environment.
- Excellent conceptual ability to quickly learn and apply new concepts to different situations and drive projects to completion with minimal supervision.
- Ability to independently research details in order to perform a thorough analysis.
Ability to multi-task, work independently with minimal supervision, under extreme high pressure, with short notice, in a fast paced environment and adjust the priority of assignments to meet deadlines
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