VP Trade Compliance - Goodman Masson : Job Details

Investment & Trade Compliance, Senior Associate/Vice President, Compliance – New York

Goodman Masson is partnered with a private, global asset manager focused on active, high-conviction investing. They draw on the collective power of their experts in each discipline, market, and region of the world through an open culture of collaboration designed to identify the best ideas. Their mission is to exceed clients' expectations on every level. The firm manages 170 billion across global asset classes for sophisticated investors around the world.

The role will be based in New York with the expectation of a hybrid work model.

The organization is seeking an Investment & Trade Compliance Senior Associate/Vice President to assist the Global Compliance Team in the oversight of compliance of the asset management business and specifically the provisions of relevant securities laws. The successful candidate should be able to monitor client portfolios and perform the daily compliance of the asset management business in accordance with the relevant regulatory and internal policies and procedures.

Primary Responsibilities:

• Support the Head of Global Investment Compliance with compliance queries ranging from local, regional and global tasks and projects to strengthen the Investment Compliance globalization process.
• Oversee daily systems checks and ensure the proper Compliance advice is given to both the Traders and Investment Professionals both locally and globally. This includes but not limited to the monitoring Bloomberg systems for Trade Surveillance, Compliance and Violations management.
• Monitor and resolve Bloomberg AIM (BBG) and Sentry PM post-trade alerts for portfolios and funds.
• Regularly interact with Portfolio Managers and other staff to assist in resolving compliance-related issues.
• Work together with Middle Office, BBG Administrators and BBG Representatives to resolve data and system issues.
• Thoroughly review client documents and extract compliance restrictions from the incorporated guidelines.
• Code, test and implement BBG and Sentry PM compliance rules derived from client guidelines, regulatory restrictions and internal mandates.
• Provide support gathering information needed to conduct reviews (internal and external) on client portfolio adherence with investment guidelines and restrictions
• Review initial contracts/prospectuses and subsequent updates and provide feedback on the monitoring capabilities.
• Support the Compliance team with general compliance queries ranging from local, regional and global compliance matters to continue strengthening the compliance bench.
• Perform various trade compliance reviews (e.g. fair allocation, trade authorization, account and best execution reviews).
• Monitor soft dollar activity including periodic requests for approval.
• Interact with internal and external auditors, and regulators.
• Assist on special projects, perform analysis, forensic testing and ad hoc assignments
• Must have some ability with SQL/Python