Entry Level Compliance position responsible for a variety of key functions required to meet regulatory requirements of the registered investment adviser compliance program of Interactive Data Pricing and Reference Data.
Collects and substantively reviews annual and quarterly personal transaction reports and other reports required under the company’s Code of Ethics, with reports to CCO
Maintains and updates Access Person lists, with information from HR, and notifies all new Access Persons of reporting requirements, with follow up to meet regulatory deadlines
Assists in preparing new and revised investment adviser policies and controls, especially for Code of Ethics and Access Person reporting
Assists in testing and monitoring of compliance procedures and controls, and participates in quarterly review meetings with asset class managers
Responsible for tracking client advisories that involve process or control issues, with follow up to ensure business line resolution of issues
Responsible for conducting quarterly email sampling and email reviews, with reports to CCO
Responsible for portions of annual compliance testing, including collection and review of Code of Ethics certifications and other certifications of adherence to policies
On a project by project basis, meets with company personnel to provide Compliance input and representation
Informs CCO of issues identified during duties and makes recommendations for resolution
Prepares/assists with preparation of Compliance training materials
Responds to inquiries from company personnel on compliance matters for which responsible
Maintains Compliance Department files to meet regulatory requirements
Other duties, as assigned from time to time by the CCO
Qualifications:
Bachelor’s degree and a minimum of 2 years of experience with a securities firm, preferably an investment adviser or mutual fund complex, in a compliance position. Fixed income securities knowledge or experience a plus.
Proficient in Microsoft
Excellent oral and written communication skills
Focus on detail and produce highly accurate work product
Must be able to work with and maintain confidential material
Must be able to work on diverse tasks simultaneously while meeting all regulatory deadlines
Must be able to work under own initiative and exercise judgment to assist in determining compliance issues and for prioritizing compliance tasks
Willing to learn compliance requirements in order to provide guidance on regulatory and compliance program requirements in discussions/meetings with company personnel
Interactive Data is an Equal Opportunity Employer.
A
trade automation, connectivity and compliance solution, the SunGard
Transaction Network (STN) links institutions throughout the financial
services community to facilitate end-to-end transaction processing.
With
more than 4,500 client firms in 60 countries managing more than $12
trillion, Advent has established itself as a leading provider of
mission-critical applications for investment management operations of
all sizes and strategies.
QUMAS
is a global compliance software company offering a complete Enterprise
Governance, Risk and Compliance solution with over 250 customer
deployments.
Belzberg
Technologies has been at the forefront of the electronic trading
evolution from the very beginning, and continues to provide world-class
service, execution and technology to the securities industry.
