BCI - Brokerage Consultants Ltd.

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Job Order:
1050-2

Job Type:
Permanent

Title:
Compliance Manager (1050-2)

Location:
Boston, MA

Description:
COMPENSATION: Commensurate with experience

SUMMARY: Investment Management Firm / Mutual Fund Company seeks a Portfolio
Compliance Manager who will be an integral part of the legal and compliance
department, primarily responsible for compliance oversight of certain fixed income
products, including commenting on new/amended guidelines and coding guidelines into
CRD. The Compliance Manager must be very familiar with all fixed income instruments
and experience with complex securities/derivatives is very desirable.

RESPONSIBILITIES: Comment on new/amended proposed guidelines during the Client
Intake process
Code new/amended guidelines in CRD; Validation of guideline coding in CRD
Oversee Compliance Specialist and assist as necessary to ensure timely/appropriate
responses to CRD Alerts
Work with members of the investment teams (Portfolio Managers/Portfolio
Specialists/Client Service Representatives) to cure guideline issues in a manner
consistent with firm's fiduciary duty to clients
Work closely with Portfolio Managers/Client Service Representatives to seek
guideline clarifications/amendments/waivers from clients as necessary
Provide staff with training/guidance
Ad hoc compliance projects as necessary

REQUIREMENTS: Bachelor?s degree in a business related field; MBA preferred
At least 8-10 years investment adviser guideline compliance experience; 3?5 years
supervisory experience
Ability to work independently and in team with other members of the Legal and
Compliance Department and other departments within firm
Extensive rule coding knowledge of CRD absolutely required
Strong knowledge of fixed income securities, equities and derivatives is required
Exceptional follow up skills to ensure guideline issues are resolved in timely
manner to reduce market risk
Good judgment in knowing when to raise issues to the Senior Portfolio Compliance
Manager
Ability to prioritize work in order to efficiently meet all deadlines
Knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of
1940 is required
Strong computer skills, including competence with Excel and Word
Strong knowledge of equity and fixed-income securities, prior experience with
derivatives


Category:
Asset Management

Contact:
tony@bcius.com