Baron Capital
Analyst, Compliance (Monitoring, Testing, ADV, COE)
Baron Capital, New York, New York, us, 10261
Analyst, Compliance (Monitoring, Testing, ADV, COE)
New York, New York
About Baron Capital
Baron Capital is a leading asset management firm founded in 1982. We believe that hiring, retaining, and nurturing talented individuals who share our passion for excellence, integrity, and innovation is the key to our success. This means creating a welcoming, inclusive, and inspiring environment for all, as well as providing the resources and support our employees need to succeed. We take pride in our exceptionally low turnover and consider it a testament to our culture of collaboration and open communication. If you are looking for a career where you are part of a dynamic team where you can truly make a difference, we invite you to consider joining us.
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.
Commission and Soft Dollar reconciliations
Monitoring and Testing
FINRA Filings
Code of Ethics Administration
Form ADV
Ad hoc projects
About the Team
The Compliance Department is comprised of the Chief Compliance Officer and seven compliance professionals. The Compliance Department is primarily responsible for developing and monitoring policies and procedures and establishing a control environment to ensure compliance with federal law and regulations, as well as client guidelines and any other applicable rules.
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.
Skills and Abilities:
Ability to handle multiple responsibilities across multiple entities and work independently.
Ability to interact professionally and effectively with internal and external contacts using tact, discretion and good judgment.
Ability to manage high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
Excellent analytical and research skills.
Experience with Microsoft Office required.
Ability to work in team-oriented environment.
Excellent written and verbal communication skills.
Ability to prioritize and organize workload, multi-task and adapt quickly to change, and deliver under the pressure of deadlines.
The base salary range for this position is based on skills, experience, qualifications, and internal equity. It is eligible for an annual discretionary bonus. It also participates in the Firm's 401(k) and Profit-Sharing Plan. The Firm's comprehensive benefits package includes medical, dental, and vision insurance coverage, along with short and long-term disability insurance coverage. In addition, the Firm offers paid time off programs, free corporate gym access, subsidized in-office lunch options, and various employee discounts/perks programs.
Note to third parties: Baron Capital is not seeking or accepting any unsolicited assistance from search and selection firms or employment agencies at this time.
Pay Transparency
$80,000 - $90,000 USD
Create a Job Alert
Interested in building your career at Baron Capital? Get future opportunities sent straight to your email.
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LinkedIn Profile
What are your annual salary expectations? *
Will you now or in the future require sponsorship for an immigration-related employment benefit, including but not limited to H-1B visa status? * Select...
Are you legally eligible for employment in the United States? (If yes, proof is required if hired). * Select...
Street Address *
Work Location: This is a hybrid role based out of our headquarters in New York City. Employees are expected to work on-site at our NYC office several days each week, in line with the Firm’s hybrid work policy.Relocation: Please note that we are not offering relocation assistance for this position. Candidates should ensure they meet the on-site work requirements in New York City. Select...
Are you currently able to work on-site at our New York City headquarters several days each week, without the need for relocation assistance?
Do you hold any securities license(s) (i.e. series 7, series 24, series 63)? *
NOTE: Baron will not hold/sponsor license(s) if it does not pertain to the applied position. Human Resources will determine.
#J-18808-Ljbffr
About Baron Capital
Baron Capital is a leading asset management firm founded in 1982. We believe that hiring, retaining, and nurturing talented individuals who share our passion for excellence, integrity, and innovation is the key to our success. This means creating a welcoming, inclusive, and inspiring environment for all, as well as providing the resources and support our employees need to succeed. We take pride in our exceptionally low turnover and consider it a testament to our culture of collaboration and open communication. If you are looking for a career where you are part of a dynamic team where you can truly make a difference, we invite you to consider joining us.
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.
Commission and Soft Dollar reconciliations
Monitoring and Testing
FINRA Filings
Code of Ethics Administration
Form ADV
Ad hoc projects
About the Team
The Compliance Department is comprised of the Chief Compliance Officer and seven compliance professionals. The Compliance Department is primarily responsible for developing and monitoring policies and procedures and establishing a control environment to ensure compliance with federal law and regulations, as well as client guidelines and any other applicable rules.
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.
Skills and Abilities:
Ability to handle multiple responsibilities across multiple entities and work independently.
Ability to interact professionally and effectively with internal and external contacts using tact, discretion and good judgment.
Ability to manage high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
Excellent analytical and research skills.
Experience with Microsoft Office required.
Ability to work in team-oriented environment.
Excellent written and verbal communication skills.
Ability to prioritize and organize workload, multi-task and adapt quickly to change, and deliver under the pressure of deadlines.
The base salary range for this position is based on skills, experience, qualifications, and internal equity. It is eligible for an annual discretionary bonus. It also participates in the Firm's 401(k) and Profit-Sharing Plan. The Firm's comprehensive benefits package includes medical, dental, and vision insurance coverage, along with short and long-term disability insurance coverage. In addition, the Firm offers paid time off programs, free corporate gym access, subsidized in-office lunch options, and various employee discounts/perks programs.
Note to third parties: Baron Capital is not seeking or accepting any unsolicited assistance from search and selection firms or employment agencies at this time.
Pay Transparency
$80,000 - $90,000 USD
Create a Job Alert
Interested in building your career at Baron Capital? Get future opportunities sent straight to your email.
Accepted file types: pdf, doc, docx, txt, rtf
Enter manually
Accepted file types: pdf, doc, docx, txt, rtf
LinkedIn Profile
What are your annual salary expectations? *
Will you now or in the future require sponsorship for an immigration-related employment benefit, including but not limited to H-1B visa status? * Select...
Are you legally eligible for employment in the United States? (If yes, proof is required if hired). * Select...
Street Address *
Work Location: This is a hybrid role based out of our headquarters in New York City. Employees are expected to work on-site at our NYC office several days each week, in line with the Firm’s hybrid work policy.Relocation: Please note that we are not offering relocation assistance for this position. Candidates should ensure they meet the on-site work requirements in New York City. Select...
Are you currently able to work on-site at our New York City headquarters several days each week, without the need for relocation assistance?
Do you hold any securities license(s) (i.e. series 7, series 24, series 63)? *
NOTE: Baron will not hold/sponsor license(s) if it does not pertain to the applied position. Human Resources will determine.
#J-18808-Ljbffr