Portfolio Compliance Manager

Supervising a team of two Compliance Analysts, the Portfolio Compliance Manager ensures client portfolios are invested in accordance with client guidelines, internal policies and procedures, and all relevant regulatory requirements, within a fixed income investment adviser. Reports directly to the Chief Compliance Officer. Supervision of daily review of trading activity for compliance with client guidelines, internal policies and regulatory issues. Direct ongoing conversion of manual compliance processes to automated solutions. Interact with other departments (such as portfolio managers and client services) to resolve compliance issues. Work with portfolio management group to conduct pre-trade analysis and what-if scenarios on proposed strategies and trades. Supervise the review of all portfolios on a periodic basis to ensure compliance.

 

Manage a group of two Portfolio Compliance Analysts (or Senior Compliance Analysts). 5+ years of portfolio compliance experience,  within a fixed income environment.

 

Previous experience with an automated portfolio compliance monitoring system strongly preferred. (CRD, Latent Zero or Line Data strongly preferred) Previous management experience desired. Strong working knowledge of regulatory regime for clients subject to ERISA, Investment Company Act, other federal laws and demonstrated ability to interpret client investment guidelines and legal documents. Ability to explore and implement automated compliance solutions with information technology specialists.

Bachelor's degree required; emphasis in business, economics, finance or related field strongly preferred. Strong knowledge of fixed income securities, including government securities, corporate bonds, and structured products. Basic understanding of derivative products (ex. Swaps, options, futures) is important.