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Snr Compliance Officer

Location: New York, USA
Salary: £100000 - £150000 per annum
Posted: 18 days ago
Contract Type: Permanent
Industry: Compliance & Financial Crime
Contact Name: Tiffany Le
Contact Email: Tiffany.Le@ojassociates.com

Tiffany Le

Delivery Consultant, USA

See more of Tiffany Le's jobs

Snr Compliance Officer

Responsibilities:

* Review, interpret and summarize investment guidelines for new mandates

* Ensure proper restriction coding in Firm's order management systems; test new and existing investment restrictions, and ensure timely implementation of applicable investment guideline updates

* Represent the team in cross-functional projects and committees, and provide input and direction in furtherance of the goals of the team

* Continuously broaden the scope of the current supervisory process; identify and implement control procedure enhancements where necessary


Requirements:
* At least 6 years of experience in investment guideline compliance in an Asset Management firm

* Experience utilising Aladdin and/or Charles River for investment compliance highly preferred

* Technical understanding of investment products and financial instruments, and the aggregation of exposures to perform compliance testing

* Expert with UCITS and 1940 Act regulations preferred

* Experience working with a global team environment

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