Green Key Resources
About the Role
Perform portfolio and trade surveillance to ensure that the firm maintains compliance with client guidelines and regulatory requirements. Conduct transactional, forensic testing and compliance reviews for adviser and fund portfolios. This individual will contribute to the oversight and timeliness of the compliance testing and monitoring program under the supervision of the Compliance Director. This individual will also contribute significantly to the administration of the Firms broker-dealer, COE, Form ADV updates, and trade cost analysis reporting.
Additionally, assist in supporting senior members of the department in the following areas:
Handle mutual fund trade restrictions, guidelines, and 40 Act limitations on Charles River OMS.
Trade Surveillance
Commission and Soft Dollar reconciliations
Monitoring and Testing
Broker Dealer Administration
FINRA Filings
Code of Ethics Administration
Client Due Diligence Reporting
Form ADV
Ad hoc projects
Key Responsibilities
Ongoing review and maintenance of the monitoring and testing program for the advisers and funds.
Assist with mutual fund trade restrictions, guidelines, and 1940 Act limitations on Charles River OMS.
Oversee post-trade compliance program at fund administrator. Review prospectus and SAI updates and update compliance testing matrices.
Assist with post-trade and end-of-day batch investment compliance monitoring activities for client accounts and mutual fund portfolios.
Research and document exceptions and communicate findings to CCO, Director of Investment Management Compliance and Monitoring and Fund Administrator.
Manage testing in all compliance areas to include, TCA, insider trading surveillance, market manipulation surveillance, compliance with firm policies, etc. Collect, review and organize information to support test results. Suggest new tests to be developed.
Assist in preparing weekly, monthly and quarterly compliance reports and certifications for assigned accounts.
Interact on real-time basis with portfolio managers in an active trading environment.
Assist in answering sub-advised clients’ DDQs and respond to other compliance inquires.
Qualifications Education and Experience:
Bachelor’s Degree required.
0-3 years of experience in compliance or related function.
Preferred Qualifications:
Working knowledge of the investment adviser and/or mutual fund industry (i.e., compliance monitoring, fund accounting/administration, risk management, security operations, etc.)
Knowledge of regulatory environment and some level of specific regulatory requirements for the Financial Services industry.
Experience with compliance monitoring, testing, documenting results and escalating issues.
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Additionally, assist in supporting senior members of the department in the following areas:
Handle mutual fund trade restrictions, guidelines, and 40 Act limitations on Charles River OMS.
Trade Surveillance
Commission and Soft Dollar reconciliations
Monitoring and Testing
Broker Dealer Administration
FINRA Filings
Code of Ethics Administration
Client Due Diligence Reporting
Form ADV
Ad hoc projects
Key Responsibilities
Ongoing review and maintenance of the monitoring and testing program for the advisers and funds.
Assist with mutual fund trade restrictions, guidelines, and 1940 Act limitations on Charles River OMS.
Oversee post-trade compliance program at fund administrator. Review prospectus and SAI updates and update compliance testing matrices.
Assist with post-trade and end-of-day batch investment compliance monitoring activities for client accounts and mutual fund portfolios.
Research and document exceptions and communicate findings to CCO, Director of Investment Management Compliance and Monitoring and Fund Administrator.
Manage testing in all compliance areas to include, TCA, insider trading surveillance, market manipulation surveillance, compliance with firm policies, etc. Collect, review and organize information to support test results. Suggest new tests to be developed.
Assist in preparing weekly, monthly and quarterly compliance reports and certifications for assigned accounts.
Interact on real-time basis with portfolio managers in an active trading environment.
Assist in answering sub-advised clients’ DDQs and respond to other compliance inquires.
Qualifications Education and Experience:
Bachelor’s Degree required.
0-3 years of experience in compliance or related function.
Preferred Qualifications:
Working knowledge of the investment adviser and/or mutual fund industry (i.e., compliance monitoring, fund accounting/administration, risk management, security operations, etc.)
Knowledge of regulatory environment and some level of specific regulatory requirements for the Financial Services industry.
Experience with compliance monitoring, testing, documenting results and escalating issues.
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