Job description
Job Number:
3234285
DESCRIPTION
Service and partner with Portfolio Managers and Traders, seeking ways to strengthen the surveillance process and enhance the overall effectiveness of guideline compliance. Conduct regular service meetings and provide updates on progress.
Identify process improvement and risk mitigation opportunities within the function locally and globally, and work with global portfolio surveillance, management, technology, and other functions to effect enhancements.
Lead local and global projects focused on improving service levels and effectiveness of surveillance systems, processes, and procedures.
Assist in enhancing and further developing the function’s KPIs, KRIs, and additional controls. Lead presentations regarding developments to key stakeholders.
Review prospective and existing client investment management agreements in relation to firm requirements
Perform daily surveillance of separately managed accounts, mutual funds, and products subject to ERISA, 40 Act and UCITS. Partner across the global team to support the global investment and trading process.
QUALIFICATIONS
1 – 3 years relevant Investment Compliance, portfolio surveillance and/or client servicing experience
Knowledge of Sentinel, Charles River or other similar compliance engines is required
Strong leadership, interpersonal, influencing and relationship management/building skills
Highly proactive, energetic, well organized, flexible, and focused on client service, highly motivated with the ability to multi-task and remain organized in a fast-paced environment and produce results
High integrity, reliability, and collaborative outlook to support development, implementation, and enhancement of global policies and practices.
Ability to summarize and present technical information to a non-technical business audience
Team oriented with a strong sense of ownership and accountability
Strong analytical and creative problem-solving skills; continuous process improvement and risk mitigation mindset is a must.
Ability to think strategically and build on system capabilities
Proficient understanding of the surveillance and compliance process including risk assessments and project management
Fixed income and equity product / trading / market practices knowledge required
Proficiency with the Investment Advisers Act and Investment Company Act knowledge; UCITS knowledge is a plus
BS or BA education required.
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