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Job ID Number: 1258063243
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Surveillance |
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| Job Title: |
Surveillance (Charles River) Compliance Manager |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Asset management division of a financial services firm seeks a Surveillance Manager.
The Compliance Manager will oversee the monitoring of client portfolios and the daily compliance of the asset management business with the relevant internal policies and procedures.
He/she will be responsible for the following:
Supervise a compliance team responsible for assessing, documenting, monitoring and reporting on compliance client portfolio monitoring activities, ongoing testing and related controls.
Code, test and implement client guidelines in Charles River, including the review of the initial contract/prospectus and subsequent updates;
Monitor and resolve Charles River pre-trade Alerts/Warnings; throughout trading day in New York.
Training employees on the specific uses of the Charles River System.
Interact with various departments to develop and enhance the effectiveness of compliance monitoring systems and reports.
Interact with SAS 70 auditors, Internal Audit and regulators.
Provide guidance on and/or conduct reviews on client portfolio adherence to investment guidelines and restrictions.
Spot check client files for proper documentation.
Interact with Portfolio Managers and other staff to assist in resolving issues.
Assist on special projects and ad hoc assignments.
Experience:
The successful candidate should have the following experience:
Expert knowledge concerning the Charles River portfolio management system.
Working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 and ERISA. Knowledge or awareness of other federal regulatory statutes and laws.
Prior management experience.
4 to 6 years experience utilizing CRD in the operations of a registered investment adviser or bank asset management department, hedge fund or other financial institution.
Basic understanding of the asset management business.
Strong communication and inter-personal skills.
Presentation skills a plus.
Familiarity with systems and office automation.
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
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