
Trade Compliance Specialist
2 weeks ago
This role is ideal for individuals who are interested in a fast-paced and challenging work environment, surrounded by highly motivated and intelligent professionals.
As a Trade Compliance Specialist, you will have the opportunity to learn about trades, trade strategies, and the impact of trades on client portfolios. You will also be responsible for ensuring that all trades are compliant with regulatory, client, and internal guidelines.
Responsibilities:- Analyzing transactions and portfolio holdings to ensure compliance with regulatory, client, and internal guidelines.
- Researching and addressing inquiries related to investment guidelines from various groups.
- Confirming that all trades are compliant by the end of each business day.
- Preparing various reports on a daily basis for relevant internal groups.
- Minimum of a Bachelor's Degree (Accounting, Business, Finance, or Economics) preferred.
- CFA designation or active status in the CFA program is a plus.
- Prior Compliance Monitoring experience in the investment management industry.
At our organization, we value diversity and inclusion. We are committed to creating a workplace where everyone feels valued and supported. We believe that this approach helps us deliver exceptional results for our clients.
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