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Compliance Analyst
Experience
1 yrs required
Location
Newport Beach, CA, United States
Posted on
Sep 25, 2020
Profile
Compliance Analyst
The candidate work within the Legal/Compliance department managing investment guidelines in the company’s proprietary compliance management environment - ACE. Primary responsibilities will include: assisting our client facing and Legal teams in negotiating investment discretions, interpreting investment restrictions from different sources (including regulatory frameworks), supporting the Trade Floor with investment decisions and directing the creation of rules within the compliance environment. An individual in this position will have frequent interaction with the various teams within Legal and Compliance as well as investment professionals across the firm. Additional responsibilities include responding to inquiries, as well as participating in ad-hoc projects.
Company info
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