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Portfolio Compliance Specialist
Ref No.: 17-04066
Location: New York, New York
Position Type:Full Time
Pay Rate : $ 110,000.00 - 1,150,000.00 /Year
An asset manager is looking to bring on a Portfolio Compliance Specialist to provide extra support to their risk and compliance team. The Portfolio Compliance Specialist will require knowledge of investment instruments and pre-trade/ post trade compliance surveillance. The Portfolio Compliance Specialist will:

• Conduct review of portfolios for compliance with client and regulatory restrictions (using Charles River). Blackrock Aladdin, in the long term.
• Handle day-to-day issues in Charles River, including researching and acting on system alert and warning exceptions
• Review exception reports and conduct forensic testing as part of on-going compliance monitoring program
• Review client contracts and interpret investment guidelines to formulate them into rules capable of being coded in Charles River or Aladdin.
• Maintain files documenting coding
• Conduct manual testing of non-Charles River guidelines and restrictions based on exception reports or portfolio management team confirmation and document the results
of such inquiries.

Position Requirements
• Previous experience in pre-trade/post trade compliance monitoring
• Broad knowledge of investment instruments, preferably with a focus on fixed income
• Understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and the SEC rules relating to those statutes
• Ability to communicate effectively by phone and in writing
• Good problem-solving skills
• Ability to multi-task in a fast-paced environment
• Experience with Charles River Order Management system or Bloomberg a plus
• BA/BS preferred

Third Party Applications Not Accepted