Overview
Trade Compliance Manager Jobs in New York City, NY at The Peak Organization Inc
Job Description
Trade Compliance Manager
Our client, a leading Investment Management Firm is seeking to add a Trade Compliance Manager to their team.
The Trade Compliance group is responsible for completing post trade analysis of all trades to ensure compliance of those trades with the respective client’s guidelines. This is a fast-paced environment as all trades must be confirmed by end of the business day using the firm’s proprietary software. In order to resolve issues, the Compliance Analyst must be able to manipulate and analyze data from holdings and securities databases and where required, work with Portfolio Managers, Account Managers and/or appropriate members of the Legal Department.
The Trade Compliance Manager’s position is an ideal opportunity for individuals interested in continuing their career at a dynamic firm with a strong compliance culture. In this role, you will be expected to assist a team of compliance professionals with learning about securities, trade strategies, the impact of trades to client portfolios, and what client guidelines are intended to do.
Specific responsibilities include:
o Direct oversight and training of Compliance Associates.
o Checking daily trading activity using proprietary compliance software against client account guidelines.
o Interacting with Account and Portfolio Management as well as the Legal department on regulatory and guideline issues.
o Communication with and support of global offices.
Position Requirements:
o An undergraduate degree in Accounting, Business, Finance or Economics and/or equivalent work experience is required for this role. Strong academic credentials and achievement.
o Prior management/supervision responsibilities.
o Understanding of the Equity and Fixed Income market.
o Strong analytical skills, problem solving ability, and excellent attention to detail.
o Must have effective verbal and written communication skills.
o Capability to manage multiple tasks with tight time deadlines, organize and prioritize tasks.
o Ability to work under pressure with a fair degree of autonomy as well as in a team environment and foster a sense of teamwork, assisting others when needed/required.
o Advance Excel skills including the use and development of macros is necessary.
o Good working knowledge of Bloomberg and other MS programs including Word, PowerPoint and Access preferred.
o Ability to write SQL code for macros and database queries.
o CFA designation or active status in the CFA program is a plus.
Title: Trade Compliance Manager
Company: The Peak Organization Inc
Location: New York City, NY
Category:
