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Portfolio Compliance Analyst
Job ID #: 16099 Location: Newport Beach
Functional Area: Compliance Department: L&C-Compliance-Guideline
Position Type: Full Time Education Required: Bachelors Degree
Experience Required: Not Indicated Relocation Provided: Yes



POSITION DESCRIPTION

A Portfolio Compliance Analyst is responsible for reviewing client accounts to ensure compliance with applicable rules. Responsibilities include analysis of transactions and portfolio holdings with respect to mutual fund regulatory requirements and prospectus guidelines. Analyst will independently research compliance issues, communicate findings internally, coordinate resolution, and interact with external clients. Analyst is expected to produce routine (daily/weekly/monthly/quarterly) compliance analysis and client reporting. Analyst is also involved with process improvements, ad hoc projects, scenario analysis, etc.

 

The position is an ideal opportunity for individuals interested in pursuing a career in a fast paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. In this role, you will be expected to learn about trades, trade strategies, the impact of trades to client portfolios, and the implementation of rules and regulations.

 



QUALIFICATIONS

  • Undergraduate degree in Business, Finance, Economics, or Accounting.
  • 2+ years compliance experience, preferably with 40-Act mutual funds.
  • Strong analytical skills, attention to detail and problem solving ability.
  • Technical aptitude with MS Excel and Macros/Visual Basic.
  • Financial product knowledge: fixed income, equity, ETFs, and derivatives.
  • Effective verbal and written communication skills.
  • Ability to work independently and in a team environment. 
  • Capable of managing multiple tasks with tight deadlines.
  • Experience with Bloomberg and Business Objects. 
  • PIMCO Compliance Assessment and Excel Test: Min 90%.
  • CFA/MBA, a plus.

 

PERSONAL CHARACTERISTICS

  • Honesty and integrity.
  • Professional demeanor in both low-stress and highly charged situation.
  • Adapt to environment, awareness of target audience and situational nuances.
  • Flourish in a challenging, fast-paced, professional environment.
  • Ability to shift priorities and operate with a sense of urgency.
  • Commitment to quality; work product delivered complete, accurate, and on time.
  • Desire to take initiative and contribute to the department and the organization.
  • Promoting a positive attitude and displaying a sense of teamwork.

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.

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