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Senior Compliance Associate - Guideline Monitoring

Company: The Forum Group
Location: New York
Posted on: February 15, 2019

Job Description:

The core responsibilities of the Guidelines and Restrictions team are: 1) monitoring investment guideline compliance for institutional separate accounts (ERISA and non-ERISA), commingled trusts, mutual funds and hedge funds, and 2) performing daily / weekly /monthly forensics to ensure the firm's trading activities comply with Firm's policies and procedures and all regulations. Client Documentation Reviews and Guideline Coding --- Participate actively in account onboarding, including negotiation of guidelines with client --- Review Fund and Account contracts documents including investment management agreements, investment policy statements, mutual fund prospectus and SAI documents to analyze and interpret necessary restrictions. --- Set-up guideline coding restrictions for new Funds and Accounts independently or requiring little oversight. --- Perform secondary review of existing guideline coding for accuracy and modify guidelines coding accordingly. --- Test potential guideline rules and proposed enhancements to the proprietary compliance restriction system to ensure accuracy before implementation. --- Assist Client Service and Client Accounting departments by helping resolve and communicate to clients regarding any compliance-related issues. --- Liaise with Portfolio Managers to help resolve portfolio exceptions and questions related to trading activity. --- Perform daily compliance exceptions monitoring by analyzing and validating exceptions. --- Report actual violations accurately and timely and follow through to resolution. --- Prepare customized monthly, quarterly client and mutual fund compliance reports. --- Compliance Monitoring and Reporting --- Perform a variety of forensic testing to ensure compliance with regulations and Firm's policies and procedures. This includes forensic testing on: --- Insider Trading --- Due diligence on Expert Network meetings --- Aggregation and Allocation processes --- Soft dollars --- Conflicts of Interest --- Quantitative models Our client, an extremely well regarded and stable investment management firm seeks to add a talented mid level compliance professional to its first in class program.

Keywords: The Forum Group, New York , Senior Compliance Associate - Guideline Monitoring, Accounting, Auditing , New York, New York

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