Demonstrates a working knowledge of Portfolio Compliance processes and independently analyzes pre-trade, post-trade and batch compliance exceptions, and assists with the facilitation investment process.
Directly engages the Investment teams and works with Trading, and other business groups to resolve outstanding issues.
Completes client reporting, rule signoff and works on departmental projects and process initiatives.
Primary responsibilities/essential functions:
Performs pre and post-trade compliance checks, in a timely manner.
Reviews all fixed income and forward currency contract orders and trades entered into the trading and order management system to ensure there are no compliance issues, in a timely manner.
Coordinates research and resolution with Trading and Investment professionals if orders need to be revised based on compliance results and works to resolve or escalate issues to associates that are more senior or management team as needed.
May review and assist other associates’ resolution of pre and post-trade compliance checks.
Performs batch compliance review of portfolio including previous day’s fixed income trading activities and market value movements.
Reviews batch compliance alerts and warnings, researches potential compliance issues and ensures timely resolution.
The above is a snap shot of some the duties involved in this role. This is a varied and challenging position and for which excellent communication skills is essential as it will have multiple contact points with key staff across many areas of the business.