Trade Compliance Officer

Victory Capital Management Inc. Brooklyn , OH 44144

Posted 6 days ago

The ideal candidate has three to five years of experience in portfolio compliance, monitoring investment activity to ensure compliance with client investment guidelines and securities regulations. He or She will be detail oriented, have the ability to read and comprehend investment restrictions, respond to requests and meet deadlines associated with working in a fast paced, growing organization. The candidate must have good interpersonal and communication skills, be able to work with minimal supervision and have a willingness to learn. A high level of integrity and professionalism is required.

Job Functions

  • Review new and updated account documents relating to investment guidelines to identify compliance rules to setup in the trading system

  • Write logic-based compliance tests to monitor compliance with regulatory and investment policy guidelines

  • Create and maintain restricted securities lists in the trading system

  • Communicate with employees of all levels

  • Promptly review exceptions and determine resolution with respect to client accounts

  • Identify and monitor compliance violations then provide sufficient and timely reporting to management as required

  • Review and approve employee trading requests

  • Compile and review firm-wide holdings information for regulatory reporting

  • Assist with other compliance related projects

Desired Qualifications/Competencies

  • Bachelor's Degree in Business preferred

  • Functional knowledge of Investment Advisers Act, Investment Company Act and SEC regulations

  • 3+ years of financial service firm experience in a compliance, investment adviser or audit related position

  • Experience working with order management systems such as Charles River

  • Experience working with employee compliance systems such as PTA or MyComplianceOffice

  • Strong analytical skills

  • Solid written and verbal communication skills

  • High degree of accuracy; well organized with the flexibility to adapt to change

  • Must be detailed oriented and able to multi-task

  • Self-motivated and able to work with minimal direct supervision

  • Working knowledge of Microsoft Word, Excel, Outlook, Charles River Investment Management Solution, client accounting platforms and Web-based applications

icon no score

See how you match
to the job

Find your dream job anywhere
with the LiveCareer app.
Mobile App Icon
Download the
LiveCareer app and find
your dream job anywhere
App Store Icon Google Play Icon
lc_ad

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Compliance Officer Marketing & Product Management

Keybank National Association

Posted 2 months ago

VIEW JOBS 9/7/2019 12:00:00 AM 2019-12-06T00:00 Job Description JOB BRIEF The Compliance Officer will be a member of the Consumer and Commercial Lending Compliance team within Compliance Risk Management. The Compliance Officer will provide support to the Marketing and Consumer Product Management lines of business by researching, interpreting and assisting with applying the related laws and regulations. As subject matter expert, the Compliance Officer will provide consultative advice, perform oversight activities and assume responsibility for mitigating and discouraging actions that may expose KeyCorp and its affiliates to risk outside its desired risk appetite. ESSENTIAL JOB FUNCTIONS * For assigned lines of business, serve as the corporate subject matter expert for all compliance risks. * Develop relationships of trust and confidence with the designated lines of business. * Provide oversight and monitoring of line of business processes and controls. * Proactively identify process improvements or control gaps and facilitate necessary associated changes. * Keep abreast of new laws and regulations. * Assist with regulatory compliance exams. * Assist with corporate policy and training development. * Educate and provide consultative advice on related regulations. * Provide independent review and challenge on various line of business activities. * Participate in or lead various projects related to mitigating risk to Key. REQUIRED QUALIFICATIONS * Bachelor's Degree required; substantial industry experience may be substituted for a Bachelor's Degree; Juris Doctorate or CRCM preferred. * 3-5 years of experience as a financial services compliance professional, bank regulator or other comparable legal experience. * Demonstrated knowledge of the regulatory requirements related to marketing consumer credit products, development of new credit products and maintenance of existing products. * Experience working with Regulation Z and UDAAP * Ability to comprehend and interpret federal and state laws that apply to marketing and product management. * Strong relationship management and leadership skills. * Candidate must possess the wherewithal and flexibility to undertake new functions/tasks as the Compliance Risk and line of business evolves and grows. * Proven ability to work in a team environment. * Sound decision-making skills; able to make decisions independently and quickly. * Solid written and oral communication skills. * Sound understanding of compliance risks. * Strong research skills coupled with strong problem solving/analytical skills. * Strong attention to detail. FLSA STATUS:Exempt KeyCorp is an Equal Opportunity and Affirmative Action Employer committed to engaging a diverse workforce and sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status. 37451BR Keybank National Association Brooklyn OH

Trade Compliance Officer

Victory Capital Management Inc.