COMPLIANCE CONSULTANT recruitment
BNPP IP offers a diverse range of investment management strategies to institutional clients in the U.S. Our clients include corporations, pension plans, insurance companies, foundations, endowments, central banks, official institutions and mutual fund advisors. In the U.S. we have offices in Boston, Chicago, New Jersey and New York. We have an excellent temporary assignment for a Compliance Consultant in our New York office. Candidate will possess a strong technical background coupled with an investment compliance background.
Specific Responsibilities:
• Creation and modification of programmed compliance rules using both a proprietary system (PRISM) and an external vendor system (Sentinel) to reflect client investment guidelines.
• Assisting with Compliance Integration Sentinel assessment (documentation write-ups and User Testing)
• Work closely with the Director of Investment Compliance to ensure all violations appearing on the daily violation report have been investigated, correctly identified as valid (Reportable/Non-reportable) or invalid, and document any particular resolution action to be taken, if required.
• Work closely with members of the Investment Team, Operations Groups, Client Service, and Information Technology
• Assist in resolving real-time pre-trade compliance queries.
• Prepare immediate reporting/run incident reports of guidelines breaches.
• Investigate guideline/post-trade breach queries
• Prepare compliance statements and client letters.
• Follow up on resolution of aged valid violations.
• Assist to organize start up, restructuring, and closing meetings; make sure action points are completed.
Ideal Personal Profile:
• Strong interpersonal skills and comfortable working in a fast-paced environment that is deadline driven and detail-oriented.
• Exceptional verbal and written communication skills. Able to understand and articulate a compliance assessment and suggest potential solutions to a member of the portfolio management team.
• Works well under pressure. Candidate will be strong team player, self-motivated, and industrious.
• Flexible but effective time manager who is able to prioritize responsibilities, manage several simultaneous projects from inception to completion.
• An individual of unquestionable integrity who would be an excellent representative of the firm on both a personal and professional basis and who has the ability to exercise discretion when handling confidential information.
Academic Background and Experience:
• A Bachelor’s Degree in Finance, Accounting, or Information Technology with excellent academic credentials.
• Minimum of one year experience with Sentinel programming or Sentinel Reporting functionality
• Strong computer skills; with advanced skills in Excel.
• Proficiency in French a plus.
To be considered for this temporary consultant assignment, please forward your resume utilizing the online application process. Equal Opportunity Employer.