Trade Compliance
About The Position
Team Overview The Trade Compliance Team: Is responsible for negotiating, establishing, interpreting and monitoring investment guidelines for all client accounts Partners with our portfolio management and investment services teams on existing trading activity and in the support of new investment initiatives across the firm’s global equity and derivative trading strategies and across developed, emerging and frontier markets Works closely with the firm’s regulatory compliance, legal, and client relationship teams on regulatory and contractual matters relating to trading activities Utilizes a highly sophisticated and customized compliance management system, in addition to custom applications and internal systems Responsibilities Members of our Trade Compliance team are integral to effective trading operations and will: Evaluate proposed equity, futures and foreign exchange trades for compliance with applicable investment guidelines and restrictions, as well as applicable regulations. Play an integral role in accommodating investment initiatives and regulatory changes by developing, testing and implementing automated solutions to address new operational requirements. Analyze client guidelines and restrictions in support of new portfolio management initiatives. Partner with our portfolio management, investment services, client relationship team and legal teams to research compliance-related client inquiries and facilitate contract amendments. Participate in investment portfolio optimization and re-balance sessions. Contribute to ongoing efforts to further automate existing pre-trade and post-trade workflows by suggesting, testing and implementing system enhancements. Be responsible for maintaining client guidelines and restrictions within the compliance system. Analyze and help resolve portfolio compliance alerts and warning reports.
Requirements
- 1-3 years of experience in the asset management industry, with operations or compliance experience preferred
- Working knowledge of equity instruments and derivative instruments such as futures contracts and FX forward contracts
- Superior work ethic, analytical skills, organizational skills, communication skills and attention to detail
Responsibilities
- Evaluate proposed equity, futures and foreign exchange trades for compliance with applicable investment guidelines and restrictions, as well as applicable regulations.
- Play an integral role in accommodating investment initiatives and regulatory changes by developing, testing and implementing automated solutions to address new operational requirements.
- Analyze client guidelines and restrictions in support of new portfolio management initiatives.
- Partner with our portfolio management, investment services, client relationship team and legal teams to research compliance-related client inquiries and facilitate contract amendments.
- Participate in investment portfolio optimization and re-balance sessions.
- Contribute to ongoing efforts to further automate existing pre-trade and post-trade workflows by suggesting, testing and implementing system enhancements.
- Be responsible for maintaining client guidelines and restrictions within the compliance system.
- Analyze and help resolve portfolio compliance alerts and warning reports.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
Number of Employees
251-500 employees
