Job: Compliance Associate - Investment Advisory

About the Job

Compliance Associate - Investment Advisory

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Major Asset Manager located in New York City is currently seeking a qualified individual for their expanding compliance department.

Responsibilities:

• Run and review/analyze forensic testing reports developed by technology for compliance. Assist technology in development of additional reports.
• Run daily compliance exception reports and compliance warehouse reports for the equity surveillance group.
• Policy and procedure review testing and reporting in accordance with Rule 206(4)-7 and Rule 38a-1.
• Analyze and review of portfolio investment guidelines and restrictions for Company's equity mutual funds.
• Daily, weekly and monthly review and testing of mutual fund regulatory requirements for equity portfolios.
• Analyze and assist the senior compliance manager in resolving potential trading and investment restriction issues.
• Work closely with portfolio managers, technology, operations, equity middle office and equity trading to resolve potential trading issues and compliance violations.
• Assist in completing special projects assigned to compliance.
• Assist the group in responding to RFP, RFI, audit (SOC1/SSAE 16 annually) and regulatory (as necessary) inquiries/requests.

The ideal candidate must have a bachelor's degree and 3+ years investment advisory, mutual funds or asset management compliance experience.  Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 is a must.

Immediate Interview
Top Bonus and Benefits
Starting salary is up to 125K Base.

All resumes submitted MUST be e-mailed in Word format DIRECTLY to Trandon Associates, Inc. Please include current salary requirements. 
Scott Evans
Trandon Associates, Inc.
535 5th Avenue-Suite 610
New York, NY 10017
PH: 212-986-0200
FAX: 212-986-0184Recruiting@trandon.com
www.Trandon.com