Portfolio Compliance Analyst
Primary responsibilities will include backing-up the Senor Portfolio Compliance Analysts in managing day-to-day automated or manual processes for ensuring pre-and post-trade compliance for fixed income and equity accounts.
Essential Job Functions:
- Work with a Sr. Portfolio Compliance Analyst in reviewing, interpreting, clarifying and maintaining portfolio guidelines and restrictions (i) prior to trading a new fixed income or equity account, or (ii) as proposed or directed by existing clients.
- Work with a Sr. Portfolio Compliance Analyst to establish and test new guidelines and restrictions in the Bloomberg trade order management and portfolio compliance system, Charles River compliance system and any manual processes to monitor restrictions that can not be automated.
- Review, evaluate and escalate pre-and post-trade compliance warnings and alerts.
- Run reports as may be requested by Sr. Portfolio Compliance Analysts or Manager of Portfolio Compliance for delivery to clients, prospective clients, regulators, examiners and auditors.
Job Specifications:
- Excellent communication skills: able to listen well; able to document tasks clearly and effectively document activities; able to read and interpret technical and legal information.
- Knowledge of fixed-income and equity securities.
- Knowledge of market monitors and data services (e.g. Bloomberg, Factset, etc.) a plus.
- Knowledge of the investment process, operations processes and trading.
- Ability to work in both structured and unstructured, fast-paced environment.
- Strong analytical skills.
- Ability to work within a team.
- Knowledge and experience in using spreadsheets, databases, and other desktop applications.
- Commitment to task and to the team; able to start and complete specific tasks with motivation and a sense of urgency; willingness to commit the necessary time and focus in order to complete individual and team tasks.
Other Duties:
- Other projects as assigned by the Manager of Portfolio Compliance.
Education/Experience:
- Bachelor’s degree.
- 1-3 years experience in investment management portfolio compliance.
- Related experience within the investment and securities industry.
Requirements:
This position requires an individual who possesses the personal attributes and the professional experience consistent with the Firm’s high standards of conduct and performance. In performing the job, the individual must: (i) always act in the best interests of clients, (ii) continuously evaluate and escalate areas of risk to the Firm, (iii) work cohesively and effectively with people across all functions, and (iv) comply with all Firm policies and procedures. Accordingly, it is expected that the individual is of high moral character, well-organized and self-directed, with strong personal skills and an ability to execute work objectives in a dynamic, fast-paced environment.
Brandywine Global Investment Management, LLC is an Equal Opportunity Employer
All interested candidates, please hit APPLY ONLINE below to submit resumes directly to and we ask that they put the Portfolio Compliance Analyst title in the subject line.
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