The Compliance Consultant will work with members of the Compliance team and other internal teams on a project to develop and implement a new pre-and post-trade compliance process. The role will review existing and new client mandates and investment guidelines, develop the appropriate coding to address each mandate and guidelines requirement, code each mandate and guideline requirement into the Charles River compliance system, and test the accuracy of the coding to ensure it is working as intended. We are looking for a candidate with significant experience with coding portfolios into the Charles River compliance system and the use of such system to monitor mandate compliance on both a pre and post-trade basis.
- Bachelor’s degree in Business or related and 5+ years of relevant compliance experience using the Charles River compliance system
- Strong working knowledge of the Investment Advisers Act and the requirements of a Compliance and Risk program under the Advisers Act
- A working knowledge of many of the following is highly desirable: Investment Company Act, Securities Act, Exchange Act, ERISA, FINRA, GIPS, CFTC/NFA, Dodd Frank swap requirements and Private Placement requirements