About this opportunity
Merit Personnel & Consulting lists this Trade Compliance Analyst in Newport Beach, CA opportunity in new york, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Trade Compliance Analyst in Newport Beach, CA
This is an ideal opportunity for individuals interested in pursuing a career in a fast paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. In this role, you will learn about trades, trade strategies, the impact of trades to client portfolios, and the implementation of rules and regulations. The Trade Compliance team is responsible for reviewing fixed-income and equity trades, on a pre and post trade basis, to ensure compliance with applicable restrictions.
The Trade Compliance Analyst will have broad exposure to the entire Investment Guideline Compliance process. Individuals in this position will have frequent interaction with a variety of groups at all levels of seniority including other teams within Legal & Compliance, Technology, Account Management, Product Strategy and the Trade Floor.
Key Responsibilities
Analyzing transactions and portfolio holdings with respect to regulatory, client, and internal guidelines and calculating various risk parameters
Researching and addressing inquiries related to investment guidelines from the Trade Floor and other internal/external parties.
Confirming all trades are compliant by the end of each business day
Preparing various reports on a daily basis to relevant internal groups
Participating in numerous ad hoc projects tied to optimizing and automating the Trade Compliance process
Position Requirements
Minimum of a Bachelor’s Degree (Accounting, Business, Finance or Economics preferred)
1 – 5 years of professional experience in compliance or the investment management industry
Basic knowledge of the global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and derivatives.
Intermediate/advanced working knowledge of MS Excel.
Preferred Qualifications
Experience monitoring transactions in a compliance system is ideal
Exposure to querying, particularly with SQL and Business Objects
Experience with Bloomberg
CFA designation or active status in the CFA program is a plus
Professional Skills Requirements
Have a strong sense of honesty and integrity
Quick learner and adaptable to learn new processes, concepts, and skills
Maintaining a strong commitment to quality and attention to details; ensuring that relevant work product is complete, accurate and on time.
Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization in an effective and collaborative manner
Ability to multitask, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output
Highly motivated self-starter with the ability to work collaboratively and independently
Desire to take initiative and contribute to the department and the organization
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Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.