New job Asset Management Trading Compliance Specialist New York, NY

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Asset Management Trading Compliance Specialist New York, NY Gerald Elliott posted a job: Asset Management Trading Compliance Specialist New York, NY "Our client, a leading national investment management firm, seeks a Senior Trading Compliance Specialist with Charles River (or similar system) experience. The primary responsibility of the Senior Compliance Analyst – Equity is to monitor trading on the New York equity trade desk. This monitoring and oversight position includes reviewing all pre-trade investment activity of equity securities and certain OTC derivatives. This position will require daily interaction with traders, analysts, and portfolio managers across all equity investment teams as well as members of senior management and personnel from the Legal and Risk Management Departments. Principal Responsibilities: •The Senior Compliance Analyst - Equity will be responsible for monitoring all equity trade activity to ensure compliance with Prospectus, SAI and Investment Guideline regulations. •Work closely with equity traders, portfolio managers and members of the Legal and Risk Management Departments to appropriately manage pre-trade alerts in the equity Order Management System (Charles River). •Assist and facilitate pre-trade review and oversight of equity securities and certain OTC derivatives. •Assist in providing compliance reports to members of senior management and to the Board of Directors. •Participate in periodic and annual risk assessments in addition to the oversight of the Firm’s application of Rule 38a-1 and 206(4)-7 compliance programs. Qualifications: •Strong knowledge of Charles River or a similar Order Management System. •Strong knowledge of equity investment strategies with specific experience in reviewing equity and OTC derivative transactions. •Thorough understanding of the markets (equity, fixed income, foreign exchange) and willingness to learn new and complex investment methodologies. •Undergraduate degree in Finance, Economics or other finance-related field. •Three to five years of experience working in compliance in the asset management field. To apply please submit your resume to Info@compliancesearch.com"

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