Investment Compliance Analyst

Finance New York, New York


Description

KEY RESPONSIBILITIES AND ACCOUNTABILITIES:

  • Daily review of fund trading to identify compliance concerns and violations.
  • Review and/or prepare compliance reports in accordance with departmental calendar to ensure and document that each investment portfolio is managed in accordance with the fund’s shareholder documents and the firm’s policies and procedures, and in compliance with applicable securities laws and regulations.
  • Assist in the maintenance and update of the firm’s compliance policies and procedures.
  • Assist in administering the Code of Ethics by preclearing, documenting and analyzing the personal securities trading activity of the firm’s Access Persons.
  • Perform due diligence oversight of the Funds’ subadvisors and other service providers.
  • Perform special audits and reviews as assigned for the annual compliance review and report.
  • Respond to inquiries from Access Persons, Portfolio Managers and subadvisors regarding compliance policies and procedures.
  • Attend and prepare minutes of various committee meetings.
  • Assist in the development and presentation of compliance training sessions.
  • Assist in the preparation of compliance reports to management and the Board of Trustees.
  • Participate as assigned in projects related to new regulatory initiatives.
  • Perform other tasks, such as maintaining compliance checklists and approved broker lists, as necessary, and maintaining departmental files.
  • Some travel required – Edison office and fund service providers

 

EDUCATIONAL REQUIREMENTS:

  • Bachelor’s degree

  

KEY QUALIFICATIONS AND COMPETENCIES:

  • Strong research, organizational and follow-up abilities
  • Superior written and verbal communication skills
  • Ability to work independently with minimal supervision
  • Attention to detail and accuracy
  • Self-starter / reliable
  • Knowledge of mutual fund industry/regulation a plus
  • Proficient in Microsoft Word, Excel and PowerPoint with accurate typing skills

 

 

Foresters Financial is an Equal Opportunity Employer.