Senior Associate Trade Restrictions

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The Senior Associate Trade Restrictions will ensure the critical accuracy of account and rule information in Trading Compliance Systems and Restrictions Management Database. This individual will be responsible for establishing new accounts and associated trade restrictions, monitoring of every trade to ensure adherence to trade restrictions, and collaborating with Client Service Team and Portfolio Managers to resolve compliance violations or issues. In addition, this role provides user support of the Trading Compliance Systems, anticipates and resolves questions and issues, leads user training and ensures understanding of system functionality and capabilities, and provides guidance to less experienced staff pertaining to trade compliance restrictions.

Responsibilities include but may not be limited to: 

• Ensure the critical accuracy of account and rule information in the Trading Compliance Systems and Restrictions Management Database. Establish new accounts and associated contract restrictions. Build and test rules related to new contract restrictions to ensure account restrictions and hierarchy are maintained.
• Monitor every trade to ensure the adherence to account restrictions. Collaborate with Client Service Team and Portfolio Managers to resolve any identified compliance violations or issues.
• Provide user support of Trading Compliance Systems, including system interfaces from data providers. Anticipate and resolve complex user questions and issues utilizing internal support or external vendor resources as appropriate. Ensure resolution in a timely and accurate manner.
• Lead user system training as needed; ensure users understand the system functionality and capabilities.
• Facilitate the administration of all third party data providers. Ensure quality and accuracy of sources and tables that support data elements.
• Initiate workflow and system enhancements to the Trading Compliance Systems. Ensure new procedures and functionality are documented and communicated to users.
• Provide guidance to less experienced staff pertaining to trade compliance restrictions. Answer questions and serve as an escalation point for complicated or unusual issues.
• Additional responsibilities as requested.

Qualifications:

• Bachelor’s Degree required
• 3-5 years of operations, trading or other industry experience required
• Excellent problem solving, analytical and comprehension skills
• Thorough understanding of the investment management business
• Delivers clear, effective communication and commits to understanding others
• Ability to lead and mentor others
• Concern for quality
• Strong results orientation
• Detail oriented and able to prioritize tasks
• Customer service orientation
• Commits to satisfying internal and external customers
• Ability to prioritize and manage multiple tasks as issues arise
• Proficient in Microsoft Excel and Word
• Positive attitude and demonstrates initiative and persistence

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