Investment Management Control and Advisory Associate

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Job Identification Number: 71

Location: Greenwich, CT

Job Type: Direct Hire

Job Category: Financial Services

Qualified candidates, please attach resume when applying.

Overview

Our client, a global investment company, is seeking an Investment Management Control and Advisory Associate in their Connecticut office. The right candidate will have strong guideline monitoring/ compliance monitoring experience.

Primary Responsibilities:

The Investment Management Control and Advisory Associate will produce effective portfolio surveillance and monitoring measures to recognize issues as they arise. Increase guideline testing and escalation. This role will build the investment advisory compliance program and implement other trade order management and compliance applications. You will stay informed of business and regulatory changes while improving previous and current controls and provide advice and maintain a close working relationship with internal departments (Portfolio Manager, Traders, etc.). This role will evaluate procedures and controls while reporting any findings to upper management. You will ensure portfolio managers adherence to guidelines, internal parameters, and statutory requirements.

Qualifications and Requirements

You should possess a Bachelor's degree with 3+ years of relevant experience. You will have strong knowledge of equity & derivative investment strategies and Sentinel or Charles River, Bloomberg, or a similar Order Management and Compliance Monitoring System is a plus. You should also have a thorough understanding of the markets and willingness to learn new and complex investment methodologies. An added plus is an understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and UCIT regulations especially in relation to Alternative Investment Strategies.

 

Qualified candidates should send resumes to ws@rockwood-search.com. Please put your Name and “ Head of Asset Management Compliance - NYC  “ in the subject line and attach your resume as a word doc or PDF. Also include contact information, salary requirements, and any applicable information in the body of the email.