MAJOR RESPONSIBILITIES:

Compliance Oversight (60%)

• Performs daily review of affiliated transactions (17a-7, 17e-1, and 10f-3) and select trade allocations (e.g. non-pro rata allocations).
• Performs daily/ad hoc trade oversight forensic testing.
• Works with internal and external legal staff, investment managers and operations personnel to respond to and resolve compliance queries related to trade allocations and affiliated transactions in a timely manner.
• Monitors daily for potential material non-public information (“MNPI”) access by investments and maintains restricted lists related to MNPI and wall crossings.
• Prepares daily, weekly, monthly and ad hoc reports for internal and external clients.
• Supports Deputy Chief Compliance Officer – Investment Advisor Compliance with institutional client reporting.
• Supports Deputy Chief Compliance Officer – Investment Advisor Compliance with policy and procedure maintenance and administration.

Other (25%)

• Participate in developing best practices and control procedures to improve efficiencies/productivity and help control risk.
• Assists the Director of the Code of Ethics team in monitoring for market abuse (e.g. review of trading anomalies to determine if information, which is not publicly available, was used during the investment process by comparing trading with news sources).
• Assist in preparation of materials for internal Committees.
• Assist in preparation of materials for internal audit and regulatory examinations.

Special Projects/Duties as assigned (15%)

REQUIREMENTS:

Education and Experience:

Minimum: Bachelor’s Degree, 2 to 4 years previous investment advisor compliance experience at either an investment management company, brokerage firm or third-party service provider or equivalent educational background (e.g., graduate degree in Finance, CFA designation).

Skills/Knowledge (Include certifications, special skills, or technical knowledge required to perform the job.)

Content knowledge

• • Working knowledge/understanding of mutual funds, equity, and debt security types.
  • Working knowledge/understanding of investment operations workflows and processes.
  • Working knowledge/understanding of mutual fund and institutional account investment guidelines and restrictions, including the Investment Company Act of 1940 and Investment Advisers Act of 1940.

Technical Skills:

• • Proficient at using the following software applications: Microsoft Word, Excel, Internet, Bloomberg.
  • Proven spreadsheet and database skills, especially SQL and Microsoft Excel.

Qualities:

• • Ability to collaborate effectively with other individuals and departments.
  • Display initiative.
  • Proven analytical, organizational, oral and written communication skills.
  • Ability to multitask and meet deadlines.
  • Attention to detail and accuracy.
  • Ability to solve problems.

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