Bachelor's degree in risk, statistics, or a related field.
Four years of relevant experience with SEC regulations for registered investment advisers.
Proficient in analyzing proxy voting datasets and applying regulatory requirements.
Experience with large-scale trade and position data for compliance monitoring.
Skilled in using quantitative methods for data analysis in compliance and risk assessment.
Responsibilities
Ensure compliance with laws and regulations in investment advisory activities.
Collect and analyze extensive data from internal sources to identify risk areas.
Design and implement compliance protocols and analytical tools for trade monitoring.
Enhance existing reporting frameworks in light of regulatory changes.
Execute proxy reporting duties under new SEC requirements.
Support core compliance functions, including audits and project management.
Assist compliance trading team with expected SEC rule changes concerning proxy voting.
Benefits
Medical and prescription drug coverage.
401(k) contribution matching.
Wellness reimbursement.
Family building benefits.
Charitable gift match program.
Full Job Description
What you'll do day-to-day
Ensure the firm complies with all applicable laws and regulations related to its investment advisory activities.
Contribute to projects that require gathering and analyzing large amounts of data from multiple internal data sources, coordinating with various internal stakeholders to identify key areas of risk, and conducting assessments to enhance existing frameworks for the purpose of monitoring and reporting in connection with the firm's proxy voting activities.
Design and implement protocols and analytical tools that help to ensure compliance with certain trade monitoring activities and other regulatory requirements.
Analyze and identify key areas for enhancing the existing reporting framework in connection with recent regulatory changes pertaining to systemic risk filings.
Handle proxy reporting duties under a new SEC regulatory requirement.
Support Core Compliance activities, including advisory reporting (systemic risk filings, privacy, and cybersecurity), internal reviews and audits, and project development, management, and coordination.
Support Compliance Trading team activities in connection with anticipated SEC rulemaking, including extensive support on proxy voting.
What we're looking for
A bachelor's degree in risk, statistics, or a related field of study.
Four years of experience in the following: working with SEC regulations applicable to registered investment advisers, including proxy voting rules, trade allocation requirements, and regulatory reporting obligations; analyzing proxy voting datasets and applying regulatory requirements to proxy voting processes, including preparation and validation of data used for regulatory and client reporting; analyzing large-scale trade and position data to support compliance monitoring and ensure regulatory accuracy and integrity; supporting the preparation, review, or validation of regulatory filings involving securities positions, trading activity, or systemic risk reporting, including Form 13H or similar large-trader or systemic risk filings; applying quantitative and statistical methods to large datasets for compliance monitoring, anomaly detection, and risk assessment, including use of structured analytical approaches; reconciling and validating data to ensure consistency, completeness, and accuracy for compliance monitoring and regulatory reporting purposes; designing, reviewing, or enhancing automated compliance surveillance reports or monitoring tools related to trading activity, trade allocation, or proxy voting, including rule-based or threshold-based monitoring logic; and, managing compliance or regulatory reporting systems and related technology infrastructure to ensure regulatory outputs function as intended, including system testing, validation, and issue resolution.
The annual base salary for this position is $130,000 - $150,000. Our compensation and benefits package includes variable compensation in the form of a year-end bonus, guaranteed in the first year of hire, and benefits including medical and prescription drug coverage, 401(k) contribution matching, wellness reimbursement, family building benefits, and a charitable gift match program.
Please email your resume and cover letter to [redacted]. Please reference [redacted] CWA in the subject or body of your email.
