POSITION SUMMARY: The Compliance Associate will play a key role in the daily oversight and maintenance of the Charles River Management System.
KEY RESPONSIBILITIES ? Accountable for developing and implementing a robust compliance program as it pertains to the daily monitoring and maintenance of compliance rules coding and daily pre and post-trade monitoring and resolution. ? Manage the various aspects of Compliance oversight which includes coding compliance rules as it relates to new accounts and/or revised restrictions, implementing ad-hoc restrictions in real time, attending to and resolving data exceptions, maintaining various security, restriction and approved broker lists. ? Review and interpret documentation specific to compliance rules coding. Make determinations regarding what can be coded and monitored in Charles River and what will need to be manually monitored. Build out and oversee a program directly relating to the required manual monitoring. ? Monitor and control the maintenance of various data points that are integral to ensuring the Charles River system operates correctly from a Compliance standpoint.
Data points can be related to data feeds from both external and internal sources. ? Responsible for tracking and maintaining books and records as it pertains to the onboarding of new accounts, account closures, resolutions of pre- and post-trade alerts and any revisions to account documents. ? Develop and maintain an organized compliance database of all client and Fund account documents which can be easily searched on an as-needed basis. ? Help initiate and execute process improvements and updates of controls. ? Assist in the Compliance departments quarterly Compliance testing. ? Aid in other Compliance department workflows as needed. Please send all resumes to
? Minimum 5 years relevant experience in the asset management/securities industry. ? Experience in coding and testing compliance restrictions in Charles River as it pertains to Equity, Fixed Income and general derivatives. ? Good working knowledge of the life of a trade from a compliance, trading and operations standpoint. ? Previous experience in developing and maintaining compliance monitoring programs utilizing Charles River and other related databases. ? Strong working knowledge of the 40 Act and Advisors Act and mutual fund and investment adviser regulations. ? Ability to engage and work effectively with senior business management (i.e. Portfolio Managers, Traders, Operations, Client Services and IT) which are located both on premises and in other locations. ? Ability to work independently, discipline and drive. ? Project management skills. ? Excellent verbal communication, interpersonal and relationship-building skills.
Employment Type: Full-time
Robert Half Finance & Accounting