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Senior Equity Surveillace Associate

Manhattan, NY

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This newly created position would be ideal for a motivated Equities Surveillance Associate looking to develop their career in a professional and innovative environment.
The Senior Equities Surveillance Associate will be responsible for:
The daily surveillance of separately managed accounts, mutual funds, and products subject to ERISA, '40 Act, and UCITS to support members of the global team to support the global investment and trading process.
Promptly reviewing, analyzing, and resolving issues relating to compliance engine-generated pre- and post- trade alerts and warnings.
Reviewing prospective and existing client investment management agreements in relation to firm requirements
Preparing responses to monthly and quarterly client certifications and client questionnaires in a timely manner
Working collaboratively with key internal and external teams including Technology, Operations, Legal, Compliance and investment management staff to solve business and regulatory driven initiatives
Effectively partnering with PM's and Traders to proactively strengthen surveillance processes as well as provide them with pro-active service without jeopardizing fiduciary responsibilities
Proactively identify process improvement and risk mitigation opportunities within the function locally and globally, and work effectively with global portfolio surveillance, management, Technology, and other groups to effect enhancements as appropriate.
The Senior Equities Surveillance Associate will have these qualifications:
5 years of relevant portfolio surveillance experience
Can work and communicate effectively with investment management staff, including portfolio managers and traders
Strong analytical and creative problem solving skills; continuous process improvement and risk mitigation mindset is a must
Knowledge of compliance engine (Sentinel and Aladdin)
Fixed income and equity product market practices knowledge is a plus
Advisors Act and Company Act knowledge is a plus
BS or BA from an accredited institution
A global tier one bank is looking for a driven Senior Equities Surveillance Associate to join their Investment Management team in the New York City office. The ideal candidate will have working experience as a compliance professional responsible for the surveillance of separately managed accounts, mutual funds, and products subject to ERISA, 40 Act, and UCITS but most importantly is collaborative and can work effectively in a team structure.

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