Merrimack, New hampshire
Compliance Analyst or Risk Analyst Job Opening in Merrimack, New hampshire - Only w2 no corp to corp
Skills: Compliance Analyst or Risk analyst
Location: Merrimack NH
Duration: 6 months+
Rate: $42 to $45/hr on exp
Fixed Income Monitoring
Conduct daily time-of-trade and batch monitoring of fixed income portfolio investment activities relative to internal and external investment guidelines and regulatory limits. Ensure portfolios are in compliance with relevant portfolio limitations
Review fund literature such as the prospectus and statement of additional information, as well as client guidelines to ensure compliance limits are appropriately translated into the compliance monitoring system.
Identify research and escalate potential compliance violations. Work with compliance senior advisors and management to resolve issues and effectively communicate with trading, portfolio management, senior management and others where appropriate.
Risk Mitigation
Proactive maintenance of the integrity of the Compliance rules-based system for assigned funds/accounts, and ensure updates are accurate and changes are timely. Analyze rule results to determine reasonability, accuracy, and completeness levels.
Identify potential issues impacting the portfolios or gaps in department policies and procedures and escalates as appropriate.
Working
Asset Management Compliance ? contact with other Compliance business units is critical and occurs daily. Regular interaction re: questions/issues and clear communication are keys to success of overall compliance program.
Investment Professionals ? day-to-day interaction with trading room personnel and portfolio managers is required to ensure that investment limits are understood and issues are resolved in an appropriate and timely manner.
Legal ? Interact with Legal groups to address items that arise such as interpretations of rules, guidance on charters, etc.
Other
Develop and maintain effective working relationships with business partners to facilitate the receipt and dissemination of information necessary for accurate completion of responsibilities. Prepare, review and analyze various scheduled and ad hoc reports.
Participate in and contribute to department-wide initiatives in support of individual, team and department goals.
Maintain files in compliance with record retention requirements.
Education and Experience
Bachelor's degree in finance, accounting, or economics or relevant job experience preferred
5-7 years? experience in financial services, preferably in the area of investment compliance or investment operations
Skills and Knowledge
Strong organizational skills with proven ability to multi-task and manage high volumes
Demonstrated strong analytic skills, resourcefulness, problem-solving abilities and attention to detail
Clear understanding of fixed income securities markets and derivatives
Excellent communication and presentation skills
A proven team player with good interpersonal skills and the ability to work collaboratively across functions
Strong PC skills including Microsoft Office applications
Thank you,
Veera Gupte
Sr. Technical Recruiter
Fortira
43x-US Hwy 1 South, Suite 105, Princeton, NJ 08540 ..
(Direct work)
Job Type: Contract
Required education:
Bachelor's
Required experience:
Risk Management: 5 years
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