Trade Compliance Analyst in Newport Beach, CA
This 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 learn about trades, trade strategies, the impact of trades on client portfolios, and the implementation of rules and regulations. The Trade Compliance team is responsible for reviewing fixed-income and equity trades, on a pre and post-trade basis, to ensure compliance with applicable restrictions.
The Trade Compliance Analyst will have broad exposure to the entire Investment Guideline Compliance process. Individuals in this position will have frequent interaction with a variety of groups at all levels of seniority including other teams within Legal & Compliance, Technology, Account Management, Product Strategy, and the Trade Floor.
Key Responsibilities
- Analyzing transactions and portfolio holdings with respect to regulatory, client, and internal guidelines and calculating various risk parameters.
- Researching and addressing inquiries related to investment guidelines from the Trade Floor and other internal/external parties.
- Confirming all trades are compliant by the end of each business day.
- Preparing various reports on a daily basis to relevant internal groups.
- Participating in numerous ad hoc projects tied to optimizing and automating the Trade Compliance process.
Position Requirements
- Minimum of a Bachelor’s Degree (Accounting, Business, Finance, or Economics preferred).
- 1 – 5 years of professional experience in compliance or the investment management industry.
- Basic knowledge of the global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and derivatives.
- Intermediate/advanced working knowledge of MS Excel.
Preferred Qualifications
- Experience monitoring transactions in a compliance system is ideal.
- Exposure to querying, particularly with SQL and Business Objects.
- Experience with Bloomberg.
- CFA designation or active status in the CFA program is a plus.
Professional Skills Requirements
- Have a strong sense of honesty and integrity.
- Quick learner and adaptable to learn new processes, concepts, and skills.
- Maintaining a strong commitment to quality and attention to detail; ensuring that relevant work product is complete, accurate, and on time.
- Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization in an effective and collaborative manner.
- Ability to multitask, work in a demanding, fast-paced environment and handle multiple, competing priorities and projects with high-quality output.
- Highly motivated self-starter with the ability to work collaboratively and independently.
- Desire to take initiative and contribute to the department and the organization.