CERES Group is Hiring a CRD Compliance Consultant Near Boston, MA
Seeking an experienced Investment compliance professional. The Compliance Analyst will assist in the implementation and maintenance of the compliance system to monitor client investment guidelines and restrictions. The Compliance Analyst will report directly to the Chief Compliance Officer (CCO). The successful candidate will coordinate with Portfolio Managers, Traders, Client Service, Operations, Technology and Legal personnel to communicate and resolve investment guideline compliance issues. Primary Responsibilities
Assist in the implementation and maintenance of the Compliance System
Monitor compliance with client investment guidelines and restrictions including:
ensuring proper restriction coding in our order management systems
testing new and existing investment restrictions
ensuring timely and accurate implementation of applicable investment guideline updates
Review all new investments to identify any environmental, social or governance (ESG) issues or restrictions
Perform daily pre and post trade investment compliance monitoring and coordinate with Portfolio Managers, Traders, Client Service, Operations, Technology and Legal personnel to communicate and resolve investment guideline compliance issues
QualificationsSeeking candidates with high levels of academic and professional achievement and leadership ability.
Four year college degree (B.A. or B.S.) with an excellent academic record
1-3 years of experience of Investment Adviser/Investment Company compliance or internal audit experience
Experience coding investment guidelines and restrictions and performing post trade compliance monitoring required
Strong analytical and problem-solving skills as well as excellent written and verbal communication skills
Detail oriented with effective follow-up skills
The ability to exercise sound judgment and to prioritize responsibilities to meet deadlines
Knowledge of trade order management and compliance systems (Latent Zero, Charles River, Eze, etc.) preferred
The ability to work independently on assigned responsibilities, as well as to accept direction on assignments
Willingness to assist in performing other compliance-related analytical tasks
The ability to work effectively as part of a team and foster the strong culture of compliance
Experience/knowledge of fixed income asset classes, security type and derivatives.