Responsibilities:
- Act as primary individual responsible for:
- Design and testing for compliance rules in Bloomberg AIM, including ongoing management of the existing rules for effectiveness and efficiency
- Daily portfolio monitoring, including pre-trade, via Bloomberg AIM
- Execution of compliance monitoring activities connected with the portfolio activities across all investment products (e.g., fair allocation, cross trading, interfund trading, soft dollars, etc.)
- Prepare Compliance portfolio management oversight reports, including but not limited to:
o Commissions monitoring
o Portfolio monitoring
o Market Abuse Review
o Institutional Client Reporting
Provide support to compliance teams in respect to:
- The preparation, review and filing of regulatory reports connected to portfolio activities, holdings, etc. (e.g., aggregate holdings, 13F, etc.)
- The design and implementation of analytical templates, spreadsheets to support compliance trend and monitoring activities involving large volumes of data
Collaboration:
- Collaborate with other compliance team members and other departments as needed in the development, maintenance and administration of compliance programs associated with portfolio & trading practices monitoring.
- Provide timely, relevant information, insight toward the creation of internal reports, records and other documentation needed by compliance teams
Required Skills and Knowledge:
- Proficiency in the use of Bloomberg, AIM and exporting of data for analytical purposes
- Proven proficiency in the manipulation of data in excel
- Strong understanding in capital markets, security types & characteristics
- A general understanding of market-based rules associated with trading, investment restrictions and regulatory expectations as it relates to the portfolio restrictions for investment funds
- Ability to undertake special analytical projects, including facilitating change, integration across various entities, products and business lines
Education and Experience:
- University Degree in Business or a related discipline
- Experience with trade monitoring within Buy-Side asset manager industry
- Experience coding investment guidelines in trade order management system