~Responsibilities Review and interpret all governing documents, including but not limited to Investment Management Agreements (IMA), Prospectuses, Statement of Additional Information (SAI), and Fund Declarations. Identify and resolve any issues/concerns with investment guideline interpretation. Participate in the new account setup and guideline change process. Review EOD portfolio compliance results, identify and resolve any active or passive compliance issues. Work with Portfolio Management, Trading, Data Management and others within Investment Compliance to determine trade suitability, review daily trading activity, and identify and resolve any associated compliance issues. Review and certify monthly and quarterly compliance questionnaires. Undertake special compliance-related projects as assigned. Identify ways of creating efficiencies/improving processes to the Investment Compliance program using best practices. Effectively participate in internal and external audits of controls and associated testing.
Minimum Qualifications Bachelor's degree with 5+ years of relevant experience; knowledge and use of CRD preferred Strong knowledge of investment guidelines Working knowledge and understanding of capital markets; experience with fixed income, equity and derivative instruments Solid knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and other regulatory requirements A self-starter who takes initiatives and works independently; a strong team player Strong analytical skills with excellent attention to detail Excellent verbal and written communications skills Excellent organizational skills and the ability to prioritize multiple requests from a variety of sources Proficiency in Bloomberg and other major software applications
Internal Number: 4683540
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