Description
My client, an elite asset management firm, based in Stamford, CT is looking to add an Investment and Compliance Adivisory Officer to their expanding team. This is an initial six month contract with potential for extensions.Primary Responsibilities:
*Maintenance and oversight of Charles River Investment Management System "CRIMS" including daily portfolio, pre and post trade alert management;
*Maintenance of CRIMS rule library including the creation of new rules and amending existing rules using CRIMS Version 9 compliance test syntax and validation functionality;
*Detailed scenario testing for Charles River system enhancements and upgrades using UAT environments;
*Oversight and management of IT related Charles River system issues and primary compliance liaison with regard to the resolution of such issues;
*Provision of practical guidance on the proper interpretation and application of IMA investment guidelines and global regulatory limitations including Luxembourg UCITS, Luxembourg SIF, US 1940 Act and Canadian NI 81-102
Basic Qualifications:
*Compliance monitoring experience in asset management industry over 5+ years;
*Excellent knowledge of Charles River Compliance Module including rule coding abilities;
*Experience of investment products, including fixed income and derivatives;
*Good knowledge of key FCA and SEC investment regulations;
*Experience of regulatory investment guidelines ideally including US 1940 Act, Luxembourg UCITS and Canadian NI 81-102
*Excellent communication skills at all levels and ability to work within a close knit environment both at team and organisational level
If you are interested in the position please respond with the most recent version of your resume. If you are no longer on the market referrals are always greatly appreciated.
Thank you,