Portfolio Compliance Officer
An asset management firm in Boston is seeking a senior Portfolio Compliance specialist with a background in trading operations and settlement.
This person will be responsible for establishing regulatory and governing rules, as well as internal policies and procedures surrounding all portfolio activity. Specialists will manage projects within the Portfolio Compliance group ranging from fund launches, proper utilization new financial products/instruments by traders, etc. You will interact directly with the traders and portfolio managers to ensure compliance with your established and well-maintained program.
Responsibilities:
- Identify, research, and address potential issues throughout the investment process through use of strong organization and analytical ability.
- Monitor all investment products, trading, client accounts, and other key investment processes to ensure compliance with the various rules, regulations, and internal policies which govern them.
- Ensure all portfolio holdings and expected trades meet compliance guidelines and restrictions.
- Oversee and manage back-office trade operations, brokers and custodians.
- Effectively utilize specialized systems and technology in day-to-day functions.
- Proactively identify process improvement opportunities internal and ancillary to the Compliance group.
Qualifications:
- 3+ years of regulatory/compliance experience
- Strong knowledge of buy-side investment compliance rules and regulations.
- Strong analytical skills and a demonstrated ability to work effectively with employees and outside parties at all organizational levels.
To find out more about Huxley Associates please visit www.huxley.com
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