Compliance Manager

  • Location

    New York, USA

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:


  • Contact:

    Maria Talebian

  • Contact email:

  • Job ref:


  • Published:

    8 months ago

  • Expiry date:


  • Startdate:


  • Client:


  • Consultant:


Primary Responsibilities:

  • Assist the Global Head of Investment and Trade Compliance in analyzing , implementing and monitoring compliance with policies and procedures.
  • Work together with Legal, Internal Audit and Global Risk on regulatory changes, inquiries and examinations, risk assessments, monitoring and surveillance
  • Monitor and resolve Bloomberg AIM (BBG) and Sentry PM post-trade alerts for portfolios and funds.
  • Regularly interact with Portfolio Managers and other staff to assist in resolving compliance-related issues
  • Thoroughly review client documents and extract compliance restrictions from the incorporated guidelines
  • Code, test and implement BBG and Sentry PM compliance rules derived from client guidelines, regulatory restrictions and internal mandates
  • Provide support gathering information needed to conduct reviews on client portfolio adherence with investment guidelines and restrictions
  • Review initial contracts/prospectuses and subsequent updates and provide feedback on the monitoring capabilities
  • Perform various trade compliance reviews (e.g. fair allocation, trade authorization, account and best execution reviews).
  • Monitor soft dollar activity.
  • Assist on special projects and ad hoc assignments


  • Bachelor's degree from an accredited institution.

7-10 years of relevant work experience in investment and trade compliance

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.

Please note that your personal information will be treated in accordance with our Privacy Policy.