Trade Compliance
Trade Compliance
A top asset manager inBostonis adding to its Trade Compliance team, which is responsible for applying, monitoring and enforcing the compliance rules and guidelines of the firm and its clients. This role will require the performance and oversight of daily data integrity checks to ensure that the firm's accounting and trading records are accurate. The individual in this role should have a firm grasp on equity and FX trading operations, corporate actions and the trade settlement process.
Job responsibilities include:
- Ensure that all portfolio holdings and expected trades meet compliance guidelines and restrictions as instructed by the client.
- Monitor all portfolio activity, including tying out all corporate actions and trades that are processed in the accounts.
- Oversee and manage back-office trade operations, brokers and custodians and industry professionals.
- Prepare and analyze daily good to sell files from custodians.
- Review and audit the daily portfolio compliance Alerts and Warning reports received from the firm's order management system.
- Assist in management requested ad hoc financial reporting and other project work, including projects related to investment activity of the portfolio.
- Assist in the resolution of compliance related client inquiries.
- Analyze and scrub all accounting data that is imported into the firm's trading platform.
- Identifying and proposing solutions related to new operational requirements.
The ideal candidate will be:
- A self-starter with excellent organizational, time and relationship management skills, as well as verbal and written communication skills.
- Very detail oriented.
- Able to work on assignments and projects with minimal supervision while proactively providing updates, facilitating reviews of progress and delivering to deadlines.
- Able to follow general procedures.
- Able to maintain a working knowledge of relevant systems.
- Able to take responsibility for informing managers of potential issues on a timely basis.
- Able to review existing processes/procedures and suggest improvements.
QUALIFICATIONS:
- Bachelor's degree is a requirement; Accounting or Finance concentration preferred.
- 5-10 years of direct hands-on compliance and/or trading operations experience, including familiarity with financial instructions and corporate actions.
- Knowledge of the Equity and Currency trade markets and how they work is required.
- A CPA designation and big four public accounting experience is strongly preferred.
- Intermediate to Advanced Microsoft Excel skills required; SQL and macro writing skills a plus.
- The candidate must be willing to work on various shifts as needed to cover European,Americasand Asian trading hours.
- Ability to work in an independent, self-directed manner and to perform equally well as part of a team.
- Drive, energy, enthusiasm, maturity and confidence.
Please contact Matthew Gallira with Huxley Associates for further detail.
To find out more about Huxley Associates please visit www.huxley.com
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