Position Summary
The Compliance Surveillance Associate will report to the Senior Compliance Officer of the Code of Ethics. The Associate will be responsible for assisting with the day-to-day tasks related to the current compliance program oversight for all control room efforts, and monitoring the handling of material non-public information, information barriers, trade surveillance, political contributions, and gifts & entertainment at the firm. The Associate will support the Compliance team in conducting surveillance reviews of information barriers, trading by the firm and employees, and other employee activities involving political activity, and gifts & entertainment. They will also collaborate closely with business groups across the firm, including Investment Compliance, Legal, and the front office investment teams to monitor compliance risk behaviors. The ideal candidate must have experience with financial markets, financial products (i.e. stocks, bonds, derivatives, etc.), and core Control Room functions, including information barrier/insider trading processes, and trade surveillance.
Essential Duties
- Perform day-to-day surveillance responsibilities, including monitoring of information barriers and market abuse trade surveillance.
- Conduct reviews related to potential material non-public information and communications between investment personnel.
- Evaluate and process personal trading and private information requests as it pertains to the firm's restricted list.
- Review compliance systems and employee activity for violations of the firm's trading policies and Code of Ethics related to political activity and gifts & entertainment.
- Support maintenance of control room functions (i.e. the firm's restricted trading lists, wall crossings, and documentation of related surveillance functions).
- Assist with regulatory examinations and audits.
- Maintain current knowledge of regulatory changes, and update policies and procedures as appropriate.
- Liaise with in-house and external counsel to assess risks identified in relation to the firm's business practices and reporting control issues.
- Support and assist with special projects and ad hoc requests/tasks for various team projects.
Required Qualifications
- Bachelor's degree required.
- 2-5 years of relevant work experience in control room functions, compliance, trading, back-office, quantitative/analytics, or portfolio risk management role.
- Understanding of the securities industry and the regulatory requirements.
- Prior experience with registered investment advisers, registered investment companies, broker-dealers, and/or SEC or FINRA.
Professional Skills Qualifications
- Outstanding attention to detail and organizational skills, with the ability to spot issues and respond timely.
- Strong data analysis, organizational and time management skills; ability to effectively identify and prioritize critical tasks.
- Excellent written and verbal communication skills.
- Good judgment and the ability to maintain strict confidentiality.
- A team player willing to assist in areas outside one's core expertise.
- Proficiency in Microsoft Office applications (Word, Excel, Outlook).
Desired Qualifications
- Proficiency in Star Compliance, Bloomberg, Aladdin, and other major software applications.
- Exceptional analytical and investigative skills, with experience partnering with business and investment colleagues.
- Ability to communicate clearly and concisely, with excellent record-keeping capabilities and the ability to complete work with minimal supervision.
- Knowledge of registered investment companies and the Investment Company Act of 1940.
- Knowledge of ETFs, fixed income, private credit, securitizations, and asset-backed finance is a plus.
Estimated Compensation:
Base Salary: For CA based position, the base salary range is $90K-$110K. This is an anticipated range for the base salary only.
Other Compensation: Eligible to be considered for an annual discretionary bonus.
Benefits: Eligible for TCW's comprehensive benefits package.
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