Investment Compliance Intern
About The Position
Investment Compliance supports portfolio management, providing timely, relevant and useful advice to portfolio managers, traders, product managers and other business partners with an aim of assessing and mitigating risk of failure to comply with applicable regulatory and client requirements that governs the constituents and activity of investment portfolios. Investment Compliance sits at the intersection of regulation, risk control, and day-to-day investment activity. Our job is to make sure the portfolio managers can pursue returns while staying within legal, regulatory, and client-mandated boundaries. Improve efficacy and efficiency of tools and workflows via pursuit of automation and use of AI. We sit at the intersection of regulation, investments and technology – supporting a growing and dynamic organization. We are in a period of substantial change – supporting the use of new technology (in pursuit of automation) and a transition to a new order management and portfolio compliance application. We are a collaborative, global team – supporting a variety of investment groups. We focus on maintaining a learning culture while holding ourselves to a high standard of care in terms of diligence and quality. As a service provider to portfolio management located around the world covering a variety of asset classes, Investment Compliance collaborates across geographic teams within our group as well as participating in cross functional discussions (including technology and back office teams) to solve problems.
Requirements
- Demonstrate curiosity, active listening and participation
- Organizational, time management skills
- Analytical skills, attention to detail
- Comfortable with participating in the building and testing of new technology solutions
Responsibilities
- Participate in testing of portfolio compliance results as part of the migration to Aladdin
- Conduct testing of a recently developed guideline identification and extraction tool.
- Help our efforts to test a guideline reconciliation tool
- Provide support to an effort to transition to a new repository of investment limitations applicable to complex securities and a new repository of Rule 12d1-4 agreements
- Support efforts to build and modify automated compliance testing controls in response to new regulatory requirements (e.g., amended Names Rule)
- Independently complete quality assurance reviews of portfolio guideline monitoring controls.
Benefits
- competitive hourly pay
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What This Job Offers
Job Type
Full-time
Career Level
Intern
Education Level
No Education Listed
