Portfolio Compliance Associate

A company is looking for a Portfolio Compliance and Review Associate.

Key Responsibilities

Establish controls in Bloomberg AIM to ensure adherence to investment limits and restrictions in ETF disclosure documents

Oversee the full lifecycle of the trading compliance process, including pre- and post-trade compliance monitoring

Identify compliance and portfolio management issues in complex investment strategies

Required Qualifications

Five or more years of experience in investment guideline compliance at an investment management firm

Bachelor's degree in finance, economics, accounting, or related field; advanced degree or JD preferred

Knowledge of the ETF regulatory framework and various asset classes

Proficiency in compliance systems, data reporting, and portfolio analytics tools

Series licenses and / or CFA designation strongly preferred