New York, NY
- 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.