Compliance Associate

New York, NY

Post Date: 08/09/2018 Job ID: 11126934 Industry: IT Consulting
  • Minimum 5 years relevant experience in the asset management/securities industry.
  • Experience in testing compliance restrictions in Charles River as it pertains to Equity, Fixed Income and general derivatives.
  • Good working knowledge of the life of a trade from a compliance, trading and operations standpoint.
  • Previous experience in developing and maintaining compliance monitoring programs utilizing Charles River and other related databases.
  • Strong working knowledge of the 40 Act and Advisors Act and mutual fund and investment adviser regulations.
  • Ability to engage and work effectively with senior business management (i.E. Portfolio Managers, Traders, Operations, Client Services and IT) which are located both on premises and in other locations.
  • Ability to work independently, discipline and drive.
  • Project management skills.
  • Excellent verbal communication, interpersonal and relationship-building skills.

Nick LaPetina


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