What are the responsibilities and job description for the Compliance Specialist position at Chandler Asset Management?
Job Description
Job Description
Description : Who are we?
We’re Chandler Asset Management, an employee-owned and independent financial services company; our concentration centers on managing taxable fixed income portfolios that are aligned with our institutional clients’ needs. We manage over $40 billion in assets and believe in the philosophy of creating value and managing risk with active management, using robust quantitative analysis and qualitative insights.
What do we value?
Great People with Great Values . Integrity, service, excellence, education and teamwork are the values that define the culture at Chandler Asset Management.
In addition to our core values, our culture is defined by 27 fundamental behaviors that describe our culture, set us apart and drive our success. From the beginning, we’ve always wanted to deliver total piece of mind through extraordinary performance. We believe our extraordinary performance and culture are driven by our dedicated and committed people.
What’s the job all about?
The Compliance Specialist is responsible for independently monitoring compliance, reviewing client investment policies, and managing coding in Bloomberg AIM. While they still support senior roles, they are expected to handle many tasks autonomously and highlight areas of concern proactively. Compliance Specialist are also responsible for supporting and leading key aspects of the firm's regulatory compliance program. This position is a hybrid role based out of our San Diego, CA office.
The essential functions of the role include, but are not limited to the following :
- The essential functions include, but are not limited to the following :
- Independently monitor compliance using tools like Bloomberg AIM. Analyze findings and highlight potential areas of concern.
- Independently review existing policies. Suggest changes based on evolving regulatory conditions.
- Handle coding processes with minimal supervision. Troubleshoot minor coding issues.
- Conduct in-depth reviews, especially in areas previously highlighted as risks. - Document findings in detailed compliance reports.
- Support compliance reviews of client statements; internal and external follow-up on deficiencies.
- Independently assess potential risks. Highlight significant risks to senior staff.
- Draft, review, and suggest policy amendments. Test the feasibility of new policies before implementation.
- Prepare and submit filings. Ensure accuracy and timeliness in all regulatory activities.
- Ensure all records are maintained as per guidelines. Review records periodically for accuracy.
- Willingness to get advanced compliance certifications and / or FINRA supervisory registrations (FINRA Series 24 preferred).
Requirements :
This Team Member will have :
What we can offer you!
Medical, Dental, Vision, HSA & FSA
Life & AD&D
Short-Term & Long-Term Disability
Accident & Critical Illness
Employee Assistance Program
Employee 401(k) Plan
ESOP
Employee Discounts
Paid Time Off
Paid Holidays
Fun Company Events
Ready to join our team?!
Please note before submitting an application : as a company, we take hiring very seriously. Although we are unable to follow-up with each and every applicant, we do our best to run a thorough process for candidates with whom we identify a potential fit. Chandler Asset Management provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, religion, color, sex, gender, sexual orientation, pregnancy, age, national origin, ancestry, physical / mental disability, medical condition, military / veteran status, genetic information, marital status, ethnicity, alienage or any other protected classification, in accordance with applicable federal, state, and local laws. Those