The Role
Monitor trade activity and enforce investment guidelines and regulatory limits for commingled funds and separately managed accounts. Implement and test automated and manual compliance rules, research and resolve trade monitoring issues with Investment teams, prepare client reports, collaborate with Legal, Technology, Client Services and Operations, and support process improvement and technology initiatives.
Summary Generated by Built In
The Analyst, Portfolio Compliance will play an integral role within the Compliance team monitoring trade activities to ensure DoubleLine advised accounts maintain conformity with investment guidelines and regulatory limits.
Job Functions
- Review and interpret investment guidelines for commingled funds and separately managed accounts.
- Implement and test automated and manual compliance rules and monitor adherence of trade activities to these rules.
- Research potential issues stemming from the trade monitoring and work with the Investment teams to resolve these matters.
- Assist with the preparation of monthly and quarterly client reporting.
- Collaborate with various business units, including Investment teams, Legal, Technology, Client Services and Operations.
- Participate in ad hoc projects, including process improvements and technology initiatives to enhance operational efficiency.
Qualifications
- Bachelor’s degree, preferably in Business, Finance, Accounting or another related field.
- 3-7 years of experience in the investment management industry, including experience in trade/portfolio compliance.
- A comprehensive understanding of the trade/portfolio compliance function, including familiarity with a compliance engine (i.e., Bloomberg CMGR or similar systems), is required.
- Knowledge of Investment Company Act of 1940, UCITS and other common regulatory regimes.
- Proficiency in Microsoft Office products, particularly Excel with the ability to code macros using Visual Basic and other tools.
Base Salary Range
The estimated base salary range for this position is $100,000 -$115,000. In addition to base salary, this position is eligible for an annual discretionary bonus, plus a comprehensive benefits package
Skills Required
- Bachelor's degree (preferably in Business, Finance, Accounting or related field)
- 3-7 years experience in the investment management industry, including trade/portfolio compliance
- Comprehensive understanding of trade/portfolio compliance function and familiarity with a compliance engine (e.g., Bloomberg CMGR)
- Knowledge of Investment Company Act of 1940, UCITS and other regulatory regimes
- Proficiency in Microsoft Office, particularly Excel, with ability to code macros using Visual Basic
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The Company
What We Do
DoubleLine is an independent, employee-owned money management firm committed to helping investors achieve their goals. It offers a wide array of investment strategies and vehicles.
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