{"id":6625,"date":"2012-02-06T15:21:41","date_gmt":"2012-02-06T14:21:41","guid":{"rendered":"http:\/\/tradingjobs.bontrade.org\/?p=6625"},"modified":"2012-02-06T15:21:41","modified_gmt":"2012-02-06T14:21:41","slug":"portfolio-compliance-analyst","status":"publish","type":"post","link":"https:\/\/bontrade.org\/blog49\/6625\/portfolio-compliance-analyst\/","title":{"rendered":"Portfolio Compliance Analyst"},"content":{"rendered":"<p><a href=\"http:\/\/www.careerbuilder.com\/JobSeeker\/ApplyOnline\/AOReviewReq.aspx?srcContext=CB&amp;IPath=JRKV1O&amp;lr=CBFALLOND&amp;Job_DID=JHQ1Q17310WG1DCNWG0&amp;next=%2fJobSeeker%2fApplyOnline%2fApplyStart.aspx%3f%3fIPath%3dJRKV1O%26lr%3dCBFALLOND%26Job_DID%3dJHQ1Q17310WG1DCNWG0\">Apply for Job Here<\/a><\/p>\n<div class=\"jdpContent stdInnerContent\" id=\"jdpDescrption\" style=\"font-family: Arial, Helvetica, sans-serif; font-size: 12px; margin-bottom: 10px; margin-left: 10px; margin-right: 10px; margin-top: 10px; text-align: left;\">\n<div style=\"float: none; font-family: arial !important;\"><strong style=\"float: none;\">POSITION OVERVIEW<\/strong><\/div>\n<div style=\"float: none; font-family: arial !important;\"><\/div>\n<div style=\"float: none; font-family: arial !important;\">The Portfolio Compliance Analyst will assist the Chief Compliance Officer in implementing controls and monitoring the activities of the Firm to ensure compliance with ethical and regulatory standards.<strong style=\"float: none;\"><\/strong><\/div>\n<div style=\"float: none; font-family: arial !important;\"><\/div>\n<div style=\"float: none; font-family: arial !important;\"><strong style=\"float: none;\">JOB FUNCTIONS<\/strong><\/div>\n<div style=\"float: none; font-family: arial !important;\"><\/div>\n<div style=\"float: none; font-family: arial !important;\"><span style=\"text-decoration: underline;\">Portfolio Compliance<\/span><\/div>\n<ul style=\"float: none; font-family: arial !important; list-style-position: outside; margin-bottom: 5px; margin-left: 15px; margin-right: 0px; margin-top: 5px; padding-bottom: 0px; padding-left: 0px; padding-right: 0px; padding-top: 0px;\">\n<li style=\"float: none;\">Perform daily reviews to ensure client guidelines are being properly followed;<\/li>\n<li style=\"float: none;\">Enter new client, regulatory or other guidelines into Bloomberg CMGR;<\/li>\n<li style=\"float: none;\">Create and maintain guideline spreadsheets for portfolio manager and trader use;<\/li>\n<li style=\"float: none;\">Respond to client reporting requirements regarding guideline adherence; and<\/li>\n<li style=\"float: none;\">Produce reports for affiliated and sub-advised mutual fund boards of trustees.<\/li>\n<\/ul>\n<div style=\"float: none; font-family: arial !important;\"><\/div>\n<div style=\"float: none; font-family: arial !important;\"><span style=\"text-decoration: underline;\">Anti-Money Laundering<\/span><\/div>\n<ul style=\"float: none; font-family: arial !important; list-style-position: outside; margin-bottom: 5px; margin-left: 15px; margin-right: 0px; margin-top: 5px; padding-bottom: 0px; padding-left: 0px; padding-right: 0px; padding-top: 0px;\">\n<li style=\"float: none;\">Implement and monitor controls designed to meet applicable anti-money laundering (AML) regulations;<\/li>\n<li style=\"float: none;\">Interact with clients, including affiliated and sub-advised mutual funds, regarding AML requirements;<\/li>\n<li style=\"float: none;\">Produce reports demonstrating AML compliance; and<\/li>\n<li style=\"float: none;\">Respond to internal and external questions regarding AML compliance.<\/li>\n<\/ul>\n<div style=\"float: none; font-family: arial !important;\"><\/div>\n<div style=\"float: none; font-family: arial !important;\"><span style=\"text-decoration: underline;\">Advertising<\/span><\/div>\n<ul style=\"float: none; font-family: arial !important; list-style-position: outside; margin-bottom: 5px; margin-left: 15px; margin-right: 0px; margin-top: 5px; padding-bottom: 0px; padding-left: 0px; padding-right: 0px; padding-top: 0px;\">\n<li style=\"float: none;\">Review and assist in production of client service and external marketing materials.<\/li>\n<\/ul>\n<\/div>\n<div class=\"jdpContent stdInnerContent\" id=\"jdpRequirements\" style=\"font-family: Arial, Helvetica, sans-serif; font-size: 12px; margin-bottom: 10px; margin-left: 10px; margin-right: 10px; margin-top: 10px; text-align: left;\"><span class=\"jdpSectionHeading\" id=\"jdpRequirementsHeader\" style=\"display: block; float: none; font-family: arial !important; font-weight: bold; margin-bottom: 3px; margin-left: 0px; margin-right: 10px; margin-top: 0px;\">&nbsp;Requirements<\/span><\/p>\n<div style=\"float: none; font-family: arial !important;\"><strong style=\"float: none;\">MINIMUM REQUIREMENTS<\/strong><\/div>\n<div style=\"float: none; font-family: arial !important;\"><\/div>\n<ul style=\"float: none; font-family: arial !important; list-style-position: outside; margin-bottom: 5px; margin-left: 15px; margin-right: 0px; margin-top: 5px; padding-bottom: 0px; padding-left: 0px; padding-right: 0px; padding-top: 0px;\">\n<li style=\"float: none;\">Bachelor\u2019s degree, preferably in Business, Finance or Accounting;<\/li>\n<li style=\"float: none;\">2-4 years portfolio compliance experience at an SEC registered investment advisor;<\/li>\n<li style=\"float: none;\">Knowledge of automated portfolio compliance systems, especially the ability to set up rules;<\/li>\n<li style=\"float: none;\">Knowledge of applicable SEC rules for investment companies, such as leverage, liquidity, diversification and concentration;<\/li>\n<li style=\"float: none;\">Knowledge and experience with anti-money laundering laws and regulations;<\/li>\n<li style=\"float: none;\">Writing and quantitative skills sufficient to prepare a wide variety of reports for clients, industry consultants and internal users; and<\/li>\n<li style=\"float: none;\">Working knowledge of MS Office Outlook, Word and Excel; knowledge of Access a plus.<\/li>\n<\/ul>\n<div style=\"float: none; font-family: arial !important;\"><\/div>\n<div style=\"float: none; font-family: arial !important;\"><strong style=\"float: none;\">PREFERRED QUALIFICATIONS<\/strong><\/div>\n<div style=\"float: none; font-family: arial !important;\"><\/div>\n<ul style=\"float: none; font-family: arial !important; list-style-position: outside; margin-bottom: 5px; margin-left: 15px; margin-right: 0px; margin-top: 5px; padding-bottom: 0px; padding-left: 0px; padding-right: 0px; padding-top: 0px;\">\n<li style=\"float: none;\">Fixed income experience, particularly with mortgage-backed and emerging markets securities;<\/li>\n<li style=\"float: none;\">Knowledge of Bloomberg\u2019s CMGR system;<\/li>\n<li style=\"float: none;\">Knowledge of regulatory investment restrictions imposed by ERISA; and<\/li>\n<li style=\"float: none;\">Experience with advertising review for an investment advisor.<\/li>\n<\/ul>\n<div style=\"float: none; font-family: arial !important;\"><\/div>\n<div style=\"float: none; font-family: arial !important;\"><strong style=\"float: none;\">PERSONAL ATTRIBUTES<\/strong><\/div>\n<div style=\"float: none; font-family: arial !important;\"><\/div>\n<ul style=\"float: none; font-family: arial !important; list-style-position: outside; margin-bottom: 5px; margin-left: 15px; margin-right: 0px; margin-top: 5px; padding-bottom: 0px; padding-left: 0px; padding-right: 0px; padding-top: 0px;\">\n<li style=\"float: none;\">Able to interact professionally at all levels of a tightly-integrated corporate team, including portfolio managers and traders;<\/li>\n<li style=\"float: none;\">Possesses high integrity and a strong work ethic;<\/li>\n<li style=\"float: none;\">Self-starter and able to function independently;<\/li>\n<li style=\"float: none;\">Well organized problem solver able to manage multiple priorities and deadlines; and<\/li>\n<li style=\"float: none;\">Strong attention to detail.<\/li>\n<\/ul>\n<\/div>\n<p><a href=\"http:\/\/www.careerbuilder.com\/JobSeeker\/ApplyOnline\/AOReviewReq.aspx?srcContext=CB&amp;IPath=JRKV1O&amp;lr=CBFALLOND&amp;Job_DID=JHQ1Q17310WG1DCNWG0&amp;next=%2fJobSeeker%2fApplyOnline%2fApplyStart.aspx%3f%3fIPath%3dJRKV1O%26lr%3dCBFALLOND%26Job_DID%3dJHQ1Q17310WG1DCNWG0\">Apply for Job Here<\/a><\/p>\n<p><a href=\"http:\/\/feedburner.google.com\/fb\/a\/mailverify?uri=feedburner\/hkWT&amp;loc=en_US\">Subscribe to Trading Jobs by Email<\/a><br \/>Find the latest <a href=\"http:\/\/www.careerbuilder.com\/JobSeeker\/Jobs\/JobResults.aspx?strCrit=rawWords%3dTrader%3bcty%3d%3bsid%3dALL%2c+US%3bcid%3dUS%3bfre%3d30%3brad%3d10%3bJN%3dAll%3b&amp;lr=CBFALLOND&amp;siteid=FALLONDcs\">Trading Jobs here<\/a><br \/><a href=\"http:\/\/technorati.com\/tag\/Trader+Job\" rel=\"tag\"><\/a> <a href=\"http:\/\/technorati.com\/tag\/Trainee\" rel=\"tag\"><\/a><\/p>\n<div class=\"blogger-post-footer\"><img width='1' height='1' src='https:\/\/blogger.googleusercontent.com\/tracker\/5865752669776502319-2727434142617175490?l=www.tradingjobs.fallondpicks.com' alt='' \/><\/div>\n<p>View full post on <a href=\"http:\/\/feedproxy.google.com\/~r\/TradingJobs\/~3\/WQIt_QiU-sk\/portfolio-compliance-analyst.html\">Trading Jobs<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Apply for Job Here POSITION OVERVIEW The Portfolio Compliance Analyst will assist the Chief Compliance Officer in implementing controls and monitoring the activities of the Firm to ensure compliance with ethical and regulatory standards. JOB FUNCTIONS Portfolio Compliance Perform daily reviews to ensure client guidelines are being properly followed; Enter new client, regulatory or other [&hellip;]<\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_lightning_design_setting":[],"footnotes":""},"categories":[4520],"tags":[1883,4804,2006],"class_list":["post-6625","post","type-post","status-publish","format-standard","hentry","category-tradingjobsearch","tag-analyst","tag-compliance","tag-portfolio"],"_links":{"self":[{"href":"https:\/\/bontrade.org\/blog49\/wp-json\/wp\/v2\/posts\/6625","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bontrade.org\/blog49\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bontrade.org\/blog49\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bontrade.org\/blog49\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/bontrade.org\/blog49\/wp-json\/wp\/v2\/comments?post=6625"}],"version-history":[{"count":0,"href":"https:\/\/bontrade.org\/blog49\/wp-json\/wp\/v2\/posts\/6625\/revisions"}],"wp:attachment":[{"href":"https:\/\/bontrade.org\/blog49\/wp-json\/wp\/v2\/media?parent=6625"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bontrade.org\/blog49\/wp-json\/wp\/v2\/categories?post=6625"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bontrade.org\/blog49\/wp-json\/wp\/v2\/tags?post=6625"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}