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Entry Level - Compliance Associate - Fixed Income

  • Location:

    Newark, New Jersey

  • Job type:

    Permanent

  • Salary:

    Negotiable

  • Contact:

    Thomas Helmke

  • Contact email:

    Thomas.Helmke@weareoliverjames.com

  • Job ref:

    JOB-042021-140591_1619097216

  • Published:

    bijna 3 jaar geleden

  • Expiry date:

    2021-04-22

  • Startdate:

    ASAP

Entry Level - Compliance Associate - Fixed Income

Compliance is responsible for ensuring that all portfolios managed are in compliance with applicable regulatory and contractual requirements, and for ensuring that the activities of our associates are in accordance with policies governing such areas of individual conduct as personal securities trading; gifts, travel, and entertainment; pay-to-play regulations; insider information; and conflicts of interest. Compliance serves as a general resource for resolving legal and interpretive issues relating to the asset management function.

There is currently a Compliance currently has a Senior Associate, Compliance position available, supporting our Private Capital Division, one of our private fixed income groups in New Jersey.

The position primarily involves the daily compliance support of our investment team including internal and 3rd party audit support, gifts & entertainment matters, personal securities trading matters, and other compliance functions with three other compliance officers.


Specific ongoing responsibilities for this position include, but are not limited to:

  • Personal Securities Trade monitoring
  • Email Review
  • Document retention administration
  • Assistance with Compliance Risk Management Program (CRMP)
  • Information Barrier monitoring
  • Confirmation of completion of associate's attestations, training and other required paperwork
  • Assistance with the implementation of the firm's global compliance programs
  • Reconciliation of Gifts & Entertainment entries
  • Monthly Compliance Metrics & Complaint Reporting
  • Assistance with annual ACA Rule 206(4)7 Review, requests from Audit, government & regulatory inquiries and examinations, etc.
  • Administration of IABQ review process
  • Assistance with quarterly compliance reporting to senior management
  • Yearly private side monitored list updating; coordinating with deal teams and Managing Directors, as needed
  • Delivery of ad hoc compliance training

Qualifications:

  • Bachelor's degree strongly preferred; advanced degree a plus
  • Candidates should have the following two qualifications:
    • Knowledge of fixed income instruments and financial markets; and,
    • Knowledge of the statutory requirements of the Investment Company Act and the Investment Adviser Act. Asset management industry knowledge is a plus
  • One to three years of experience in a compliance, regulatory, audit, operations, or similar control function
  • Candidates must be able to work independently and possess an extremely high level of integrity
  • Strong written and verbal communication skills
  • Highly motivated and results driven
  • Outstanding research, analytical and practical problem-solving skills
  • Excellent time management skills with great attention to detail
  • Strong interpersonal and relationship building skills; ability to effectively collaborate and negotiate with personnel at all levels
  • Technically savvy including a deep understanding of the MS Office Suite of software, more specifically Microsoft Excel
  • The ability to triage and prioritize is critical in the day-to-day production environment due to the growing nature of the PPC business

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