Senior Compliance Analyst
Russell Tobin - new york city, NY
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The Guidelines and Restrictions team, is responsible for monitoring investment compliance, conducting pre-trade and post-trade guideline assessments, and performing forensic testing. This role, part of the Portfolio and Trading Compliance team, focuses on overseeing equity holdings and daily trading activities against client guidelines and regulatory requirements.Key responsibilities include daily monitoring of portfolio guidelines, assisting with account setup, liaising with trading and portfolio managers, leading system enhancements, and preparing client reports. Candidates should have direct guideline experience (including coding), and strong communication skills.Our Client seeks candidates with any guideline experience, especially in pre-trade and post-trade compliance, as this role has significant exposure to the trading desk and the firm's operations, including involvement in new products and regulatory matters.
Created: 2024-09-26