Email Alert for
ⓘ There was an unexpected error processing your request.
Please refresh the page and try again.
If the problem persists, please contact us with your issue.
You can always manage your preferences and update your interests to ensure you receive the most relevant opportunities.
Get ready to discover your next great opportunity.
Mando Technologies
San Francisco, CA, United States
QA Analyst for CRD, Asset Management, Fixed Income - Trading Competencies : Asset Management, Trading (Fixed Income) Trading Systems experience - Strongly preferred CRD (Charles River Development) but will consider Aladdin . Asset management experience is essential. Testing experience required:-Testing methodologies-Best practices-Right aptitud
Job Source: Mando TechnologiesMando Technologies
San Francisco, CA, United States
QA Analyst for CRD, Asset Management, Fixed Income - Trading Competencies : Asset Management, Trading (Fixed Income) Trading Systems experience - Strongly preferred CRD (Charles River Development) but will consider Aladdin . Asset management experience is essential. Testing experience required:-Testing methodologies-Best practices-Right aptitud
Job Source: Mando TechnologiesPG&E Corporation
Oakland, CA, United States
Requisition ID # 158375Job Category: Compliance / Risk / Quality AssuranceJob Level: Individual ContributorBusiness Unit: Electric EngineeringWork Type: HybridJob Location: Oakland; Fresno; Fresno; Rocklin; SacramentoDepartment OverviewThe hardworking cowers of Electric Engineering ensure all manners of electric engineering--including electrical st
Job Source: PG&E CorporationSia Partners
San Francisco, CA, United States
Sia Partners is a next-generation management consulting firm. We offer a unique blend of AI and design capabilities, augmenting traditional consulting to deliver superior value to our clients. Counting 3,000 consultants in 19 countries, we expect to achieve USD 420 million in turnover for the current fiscal year. With a global footprint and experti
Job Source: Sia PartnersKaiser Permanente
Oakland, CA, United States
The Compliance Consultant V - Market Compliance Partner will be responsible for managing compliance initiatives within the region and local market related to the Care Delivery Quality and Revenue Management Compliance Functions. Given the specific state laws, regulatory requirements, and business practices in each geographical market, this rol
Job Source: Kaiser PermanenteKaiser Permanente
Oakland
The Compliance Consultant V - Market Compliance Partner will be responsible for managing compliance initiatives within the region and local market related to the Care Delivery Quality and Revenue Management Compliance Functions. Given the specific state laws, regulatory requirements, and business practices in each geographical market, this role inv
Job Source: Kaiser PermanenteDiverse Lynx
San Francisco, CA, United States
Trading Systems experience - Strongly preferred CRD (Charles River Development) but will consider Aladdin. Asset management experience is essential.Testing experience required:-Testing methodologies-Best practices-Right aptitude and interest in improving QA function-Attention to detailBusiness process and workflow documentation - focused on Asset m
Job Source: Diverse LynxSia Partners
San Francisco, CA, United States
Company Description Sia Partners is a next-generation management consulting firm. We offer a unique blend of AI and design capabilities, augmenting traditional consulting to deliver superior value to our clients. Counting 3,000 consultants in 19 countries, we expect to achieve USD 420 million in turnover for the current fiscal year. With a global
Job Source: Sia PartnersBurlingame, CA, United States
Seeking an experienced Investment compliance professional. The Compliance Analyst will assist in the implementation and maintenance of the compliance system to monitor client investment guidelines and restrictions. The Compliance Analyst will report directly to the Chief Compliance Officer (CCO). The successful candidate will coordinate with Portfolio Managers, Traders, Client Service, Operations, Technology and Legal personnel to communicate and resolve investment guideline compliance issues.
Primary Responsibilities
* Assist in the implementation and maintenance of the Compliance System* Monitor compliance with client investment guidelines and restrictions including:* ensuring proper restriction coding in our order management systems* testing new and existing investment restrictions* ensuring timely and accurate implementation of applicable investment guideline updates
* Review all new investments to identify any environmental, social or governance (ESG) issues or restrictions* Perform daily pre and post trade investment compliance monitoring and coordinate with Portfolio Managers, Traders, Client Service, Operations, Technology and Legal personnel to communicate and resolve investment guideline compliance issues
Qualifications:
Seeking candidates with high levels of academic and professional achievement and leadership ability.
* Four year college degree (B.A. or B.S.) with an excellent academic record* 1-3 years of experience of Investment Adviser/Investment Company compliance or internal audit experience* Experience coding investment guidelines and restrictions and performing post trade compliance monitoring required* Strong analytical and problem-solving skills as well as excellent written and verbal communication skills* Detail oriented with effective follow-up skills* The ability to exercise sound judgment and to prioritize responsibilities to meet deadlines* Knowledge of trade order management and compliance systems (Latent Zero, Charles River, Eze, etc.) preferred* The ability to work independently on assigned responsibilities, as well as to accept direction on assignments* Willingness to assist in performing other compliance-related analytical tasks* The ability to work effectively as part of a team and foster the strong culture of compliance* Experience/knowledge of fixed income asset classes, security type and derivatives.* Candidates with CFA or MBA are highly desirable
#J-18808-Ljbffr
Email Alert for CRD Compliance Consultant jobs in Burlingame, CA, United States
ⓘ There was an unexpected error processing your request.
Please refresh the page and try again.
If the problem persists, please contact us with your issue.
You can always manage your preferences and update your interests to ensure you receive the most relevant opportunities.
Get ready to discover your next great opportunity.