Trade Compliance Analyst
Trade Compliance Analyst
DEPARTMENT: Trade Compliance
POSITION DESCRIPTION:
The Trade Compliance group is responsible for completing post trade analysis of all Newport Beach trades to ensure compliance of those trades with the respective client’s guidelines. This is a fast paced environment as all trade must be confirmed by end of the business day using the firm’s proprietary software. In order to resolve issues, the Compliance Analyst must be able to manipulate and analyze data from holdings and securities databases and where required, work with the appropriate Portfolio Manager, Account Manager and/or appropriate members of the Legal Department.
The Trade Compliance Analyst position is an ideal opportunity for individuals interested in pursuing a career in the fast paced, dynamic fixed income markets. In this role, you will be expected to learn about securities, trade strategies, the impact of trades to client portfolios, and what client guidelines are intended to do.
Specific responsibilities include:
• Checking daily trading activity using proprietary compliance software against client account guidelines.
• Query and reconcile trade tickets with accuracy in a high-volume trading environment. These reconcilements tend to be research oriented and require the use of Business Objects to resolve.
• Interacting with Account and Portfolio Management as well as the Legal department on regulatory and guideline issues.
Position Requirements: QUALIFICATIONS:
• Requires four-year college degree in accounting, business, finance or economics and/or equivalent work experience. GPA 3.0 or higher.
• Understanding of the Fixed Income market.
• Strong analytical skills and excellent attention to detail.
• Must have effective verbal and written communication skills.
• Ability to work in a team environment.
• Capable of managing multiple tasks with tight deadlines
• Possess strong problem solving ability.
• Advance Excel skills including the use and development of macros.
• Experience with Bloomberg preferred.
• Ability to write SQL code for macros and database queries
• Experience using MS Access and MS Query/Business Objects a plus.
PIMCO is an Equal Opportunity Employer
Leave a Reply
You must be logged in to post a comment.