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Charles River Compliance Consultant

Plaats: San Francisco, California
Salaris: US$150 - US$200 per hour
Geplaatst: 6 dagen geleden
Contract Type: Contract
Industrie: Compliance & Financial Crime
Contactpersoon: Joe Southgate
Email: Joe.southgate@ojassociates.com

Charles River Compliance Consultant

Senior Charles River Compliance Consultant - San Franciso/Remote - 2 Year Contract

We are seeking an experienced, highly skilled Investment Adviser/Investment Company Compliance professional. The Compliance Officer will primarily be responsible for client guideline and restriction monitoring including reviewing all new and existing client guidelines, maintaining our pre and post-trade compliance system and conduct daily exception monitoring. They will work closely with Traders, Client Portfolio Managers and senior management to resolve compliance issues in our separately managed accounts. Additionally, they will lead the initiative to transition to a new pre and post-trade compliance monitoring system. The Compliance Officer will report directly to the Chief Compliance Officer (CCO) of our client on the West Coast.

Main Responsibilities:

  • Review and comment on new and amended client guidelines
  • Code new and amended guidelines in the compliance system
  • Validate rule construction and rules coded in the compliance system by other compliance officers and analysts
  • Collaborate with members of our legal, trading and investment teams to rectify guideline issues
  • Work with the client facing team to seek guideline clarifications, amendments, and waivers from clients as necessary
  • Lead the initiative to transition to a new pre and post-trade compliance monitoring system
  • Perform ad hoc compliance projects

Key Skills/Qualifications:

  • Four-year college degree; MBA, JD or CFA charter holder a plus
  • A minimum of ten years of experience in addressing compliance issues within the registered investment adviser and mutual fund industry
  • Extensive knowledge of fixed-income securities required; knowledge of derivative instruments preferred
  • Strong ability to review, interpret and code compliance guidelines for fixed income mandates using knowledge of trading and compliance systems (Charles River, Latent Zero, etc. experience required)
  • Experience with Stable Value mandates strongly preferred
  • Strong analytical and problem-solving skills as well as excellent written and verbal communication skills
  • Ability to interface effectively with senior management, portfolio managers, client service associates, and trading personnel
  • An ability to work effectively as part of a team and foster the strong culture of compliance
  • Proven success in establishing processes, procedures and systems to optimize compliance efforts
  • Advanced Microsoft Office skills a plus.

If interested, please respond with an updated resume.

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