Radial

CRD Compliance Consultant

Radial • $80K — $95K *
Burlingame, CA 94010In-Person
Finance & Insurance
Less than 5 years of experience
Today
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • Four-year college degree (B.A. or B.S.) required with an excellent academic record
  • 1-3 years of compliance or internal audit experience within Investment Advisers or Investment Companies
  • Proficient in coding investment guidelines and conducting post-trade compliance monitoring
  • Strong analytical and problem-solving skills required, along with excellent communication abilities
  • Detail-oriented with effective follow-up skills
  • Able to prioritize tasks and meet deadlines using sound judgment
  • Preferred knowledge of trade order management and compliance systems like Latent Zero or Charles River
  • Team player with the ability to work independently; CFA or MBA is a plus

Responsibilities

  • Assist in implementing and maintaining the Compliance System
  • Monitor adherence to client investment guidelines and restrictions
  • Ensure correct coding in order management systems
  • Test new and existing investment restrictions
  • Implement updates to investment guidelines accurately and on time
  • Review new investments for ESG issues or restrictions
  • Conduct daily investment compliance monitoring prior to and after trades

Benefits

  • Opportunities for professional growth and development
  • Strong culture of compliance and teamwork
  • Direct mentorship from the Chief Compliance Officer
  • Engagement with cross-functional teams including Portfolio Managers and Legal
  • Access to advanced compliance systems and technologies
Full Job Description
Seeking an experienced Investment compliance professional. The Compliance Analyst will assist in the implementation and maintenance of the compliance system to monitor client investment guidelines and restrictions. The Compliance Analyst will report directly to the Chief Compliance Officer (CCO). The successful candidate will coordinate with Portfolio Managers, Traders, Client Service, Operations, Technology and Legal personnel to communicate and resolve investment guideline compliance issues.

Primary Responsibilities

  • Assist in the implementation and maintenance of the Compliance System
  • Monitor compliance with client investment guidelines and restrictions including:
    • ensuring proper restriction coding in our order management systems
    • testing new and existing investment restrictions
    • ensuring timely and accurate implementation of applicable investment guideline updates
  • Review all new investments to identify any environmental, social or governance (ESG) issues or restrictions
  • Perform daily pre and post trade investment compliance monitoring and coordinate with Portfolio Managers, Traders, Client Service, Operations, Technology and Legal personnel to communicate and resolve investment guideline compliance issues

Qualifications:

Seeking candidates with high levels of academic and professional achievement and leadership ability.

  • Four year college degree (B.A. or B.S.) with an excellent academic record
  • 1-3 years of experience of Investment Adviser/Investment Company compliance or internal audit experience
  • Experience coding investment guidelines and restrictions and performing post trade compliance monitoring required
  • Strong analytical and problem-solving skills as well as excellent written and verbal communication skills
  • Detail oriented with effective follow-up skills
  • The ability to exercise sound judgment and to prioritize responsibilities to meet deadlines
  • Knowledge of trade order management and compliance systems (Latent Zero, Charles River, Eze, etc.) preferred
  • The ability to work independently on assigned responsibilities, as well as to accept direction on assignments
  • Willingness to assist in performing other compliance-related analytical tasks
  • The ability to work effectively as part of a team and foster the strong culture of compliance
  • Experience/knowledge of fixed income asset classes, security type and derivatives.
  • Candidates with CFA or MBA are highly desirable

About Radial

Radial is a leading provider of e-commerce technology and operations solutions for retailers and brands. The company offers a range of services, including order management, payment processing, fraud detection, and customer care. Radial's solutions are designed to help retailers and brands improve their online shopping experiences, increase sales, and reduce costs. The company serves a wide range of industries, including fashion, beauty, electronics, and home goods. Radial is headquartered in King of Prussia, Pennsylvania, and has operations in the United States, Europe, and Asia.
Learn more about Radial
Size
7,000 employees
Industry
Business Services
Founded
1999
* Ladders Estimates
Ad banner background

Get Ready For Your
Next Interview

More Jobs at Radial

More Finance & Insurance Jobs

Find similar CRD Compliance Consultant jobs:

NationwideBurlingame, CA