Overview
A global investment management firm is seeking a Registered Funds Compliance, Associate / Vice President to join its Greenwich, CT office as part of the Compliance team.
Key Responsibilities
- Monitor adherence to registered products (e.g., ’40 Act Funds and UCITS Funds), client guidelines, offering documents, internal parameters, and statutory requirements for private funds, and separately managed accounts
- Draft, edit, and analyze written policies and procedures to respond to business/regulatory changes or to launch new business lines
- Develop a close working relationship with Portfolio Managers and Traders, and provide clear, sound advice to all groups across the firm
- Research, interpret and advise the teams about compliance with applicable investment and trading laws, regulations and guidance
- Implement and/or refine monitoring measures to identify/address issues on a “real time” basis and assist with resolution
Skills, Knowledge & Experience
- A Bachelor’s degree, with a minimum of 3-6 years of related experience
- Understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and UCITS regulations, especially in relation to alternative investment strategies
- Experience with a variety of asset classes (including equities and fixed income) and derivatives types (including futures and swaps), as well as alternative strategies
- Strong knowledge of guideline monitoring software, Bloomberg, or a similar Order Management and Compliance Monitoring System (e.g. Aladdin, Charles River, Sentinel)
- Thorough understanding of the markets and willingness to learn new and complex investment methodologies
- CFA, CAIA or FRM is a plus
Person Specification
- 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.
Additional Information & Company Benefits
- The salary range for this role is expected to be $150,000 to $175,000.
- The firm coffers comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), and any other benefits to eligible employees.
