Compliance

• Review compliance exceptions promptly within established timelines, providing subject matter expertise and communicating critical information to investment and trading personnel.
• Analyze compliance alerts using knowledge of investment guidelines, regulations, compliance systems, and internal policies to deliver accurate and timely decisions.
• Ensure decisions maintain high accuracy to prevent violations of client prospectus, regulatory, and internal guidelines, as well as operational errors.
• Coordinate communication, resolution, and documentation of compliance violations with internal parties following established procedures.
• Assist fixed income investment and trading personnel with critical, time-sensitive questions and requests related to investment restrictions at portfolio and firmwide levels.
• Conduct test trades for new investment ideas and instruments to ensure compliance with applicable restrictions.
• Identify potential gaps in monitoring processes and propose practical process improvement solutions.
• Present complex information clearly and professionally through written materials or presentations to diverse audiences.

Senior Compliance Officer

Quality Specialist – Customer Compliance

GRC Services, Trust, Assurance Analyst

Senior Manager, Compliance Monitoring and Oversight

Fund Compliance Manager

Compliance Analyst, MS