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For your reference, we have included the original job posting below.
Portfolio Compliance Analyst
Job Number:
43903382
Company Name:
Helpmates Staffing Services
Job Location:
Torrance, CA US
Job Category:
Accounting & Finance
Portfolio Compliance Analyst
Portfolio Compliance Analyst-Full time
The PCA will assist the Chief Compliance Officer in implementing controls and monitoring the activities of the Firm to ensure compliance with ethical and regulatory standards.
Perform daily reviews to ensure client guidelines are being properly followed;
Enter new client, regulatory or other guidelines into Bloomberg CMGR; create and maintain guideline spreadsheets for portfolio manager and trader use. Respond to client reporting requirements regarding guideline adherence; and produce reports for affiliated and sub-advised mutual fund boards of trustees.
Anti-money laundering:
Implement and monitor controls designed to meet applicable anti-money laundering (AML) Regulations; Interact with clients, including affiliated and sub-advised mutual fund, regarding AML requirements; produce reports demonstrating AML compliance and respond to internal and external questions regarding AML compliance.
Requirements:
Bachelor's degree Pref in business, finance or accounting
2-4 years portfolio compliance experience at an SEC registered investment advisor; knowledge of automated portfolio compliance systems, especially the ability to set up rules; knowledge of applicable SEC rules for investment companies, such as leverage, liquidity, diversification and concentraction; working knowledge of MS Office Outlook, Word, Exce, Access knowledge is a plus.
Fixed income experience, knowledge of Bloomberg's CMGR system; knowlege of regulatory investment restrctions imposed by ERISA and experience with advertising review for an investment advisor.
