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

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Trade Compliance Officer

Victory Capital Management Inc.