BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

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They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:
1197-290

Job Type:
Permanent

Title:
Investment Compliance Team Lead (1197-290)

Location:
Los Angeles, CA

Description:
The Team Lead, Investment Compliance will join a team of investment
compliance professionals that provides compliance support to our investment
teams, as well as other functions within the firm. Specifically, this
individual will be responsible for monitoring current holdings and daily
trading activity against client guidelines, restrictions, internal
policies/procedures, and relevant regulatory requirements.

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
Review systematic feasibility of investment guidelines and provide
guidance/expertise as it relates to coding in firms compliance monitoring
system, Charles River (CRD)
Provide quality control reviews related to 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
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

REQUIREMENTS:
Bachelors degree
6+ years of relevant experience, including knowledge and use of Charles
River (CRD)
Solid working knowledge and understanding of capital markets; experience
with fixed income, equity and derivative instruments
Knowledge of the Investment Advisers Act of 1940, the Investment Company Act
of 1940, the Securities Exchange Act of 1934, and other regulatory
requirements
Strong analytical skills with excellent attention to detail
CRD knowledge or equivalent experience
Proficiency in Bloomberg and other major software applications

Category:
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Contact:
zach@bcius.com