Investment & Trading Compliance Role - CFA/CPA

Your Role

- Provide real time advisory compliance support, Portfolio Implementation, Trading and Financing staff.

- Research, interpret and advise the firm regarding compliance with investment and trading laws, regulations and guidance applicable across the globe.

- Develop effective portfolio surveillance and monitoring measures to identify/address issues on a "real time" basis

- Creatively and proactively respond to business and regulatory changes

- Build compliance checklists in support of applicable policies and procedures

- Monitor adherence to client guidelines, internal parameters, and statutory requirements.

- Identify, escalate, and assist with resolution of portfolio and trading issues, with an emphasis in process improvement

What You'll Bring

- A MBA with minimum of 3-5 years of related experience

- Strong knowledge of equity and derivative investment strategies

- Strong knowledge of guideline monitoring software, Bloomberg, or a similar Order Management and Compliance Monitoring System is a plus

- Thorough understanding of the markets and willingness to learn new and complex investment methodologies

- Understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and UCIT regulations especially in relation to Alternative Investment Strategies is a plus

- C.F.A. or C.P.A. is a plus

Who You Are

- Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlines and exercise sound judgment.

- Excellent oral and written communication skills; must be able to confidently collaborate with various departments within the firm.

- Well-organized and detail-oriented.

- A self-starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment.