Senior Portfolio Compliance Analyst – Global Fixed Income recruitment
Primary responsibilities will include the review and interpretation of new fixed income accounts’ investment restrictions, assisting in the establishment and continuous refinement of the Firm’s pre-and post-trade compliance systems, and managing day-to-day automated or manual processes for ensuring pre- and post-trade compliance for fixed income accounts.
Essential Job Functions:
- Work with the Manager of Portfolio Compliance and other Firm personnel to review, interpret, clarify and maintain portfolio guidelines and restrictions (i) prior to trading a new fixed income account, or (ii) as proposed or directed by existing clients.
- Establish, code, and test new guidelines and restrictions in the Bloomberg trade order management and portfolio compliance system, or manual process to monitor restrictions that can not be automated.
- Review, evaluate and resolve (or escalate) pre-and post-trade compliance warnings and alerts.
- Provide portfolio compliance related information, as may be required by clients, prospective clients, regulators, examiners and auditors.
- Provide information to the Marketing, Sales Client Service department in support of their responses to client’s requests for information or certifications.
- Carry out special projects and actively support the Director of Risk Management and the Manager of Portfolio Compliance in achieving departmental goals and responsibilities.
- Contribute to the maintenance, improvement and continuous refinement of the portfolio compliance process.
Job Specifications:
- Strong project management and documentation skills.
- Excellent communication skills.
- Strong analytical and judgment skills.
- Knowledge of fixed-income and equity securities, derivatives, benchmarks, and sectors and industries.
- Knowledge of market monitors and data services (e.g. Bloomberg, Factset, etc.).
- Knowledge of the investment process, operations processes, investment systems management, trading and risk management.
- Experience with 40 Act funds and UCITs.
- Ability to work in both structured and unstructured, fast-paced environment.
- Ability to work within a team.
- Knowledge and experience in using spreadsheets, databases, and other desktop applications.
- Familiarity with Bloomberg trading and portfolio compliance systems.
- 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.
• Ability to back-up, support, and perform the job functions of other portfolio compliance team members.
Education/Experience:
• Bachelor’s degree.
• 3-5 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.
Please apply for this position only if you meet the minimum requirements.
Brandywine Global Investment Management, LLC is an Equal Opportunity Employer