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Loomis, Sayles & Company
Boston, MA, United States
Loomis Sayles is a performance-driven active asset management company that seeks to identify exceptional investment opportunities on behalf of institutional and retail clients worldwide. We believe active management fueled by proprietary, best-in-class research helps us achieve financial success for our clients. Founded in 1926, Loom
Job Source: Loomis, Sayles & CompanyNatixis Investment Managers
Boston, MA, United States
Overview: The Portfolio Analyst is a member of the Natixis Investment Solutions Portfolio Management Team within the Portfolio Analysis & Consulting Group. The core responsibilities of this role are to assist the portfolio management team in the investment management functions associated with the multi-asset class model programs, investments,
Job Source: Natixis Investment ManagersNexamp
Boston, MA, United States
Do you want to be a part of the clean energy movement? Are you passionate about improving our environment for this generation and those to follow? Are you ready to take on new challenges and collaborate with a future-focused team leading the way into new markets? Join Nexamp! This is where you can learn from industry leaders and become one yoursel
Job Source: NexampNatixis Investment Managers
Boston, MA, United States
Description Overview: The Portfolio Analyst is a member of the Natixis Investment Solutions Portfolio Management Team within the Portfolio Analysis & Consulting Group. The core responsibilities of this role are to assist the portfolio management team in the investment management functions associated with the multi-asset class model programs, inve
Job Source: Natixis Investment ManagersBrown Advisory Incorporated
Boston, MA, United States
About Art Bridges Art Bridges Foundation is the vision of philanthropist and arts patron Alice Walton. Since 2017, Art Bridges has created and supported projects that bring outstanding works of American art out of storage and into communities. Art Bridges partners with a growing network of over 200 museums of all sizes and locations on nearly 800
Job Source: Brown Advisory IncorporatedBoston Partners
Boston, MA, United States
Position:Portfolio Operations Analyst Department: Investment Operations Report to:Head of Investment Operations Company Summary: Boston Partners is a global investment advisor with $100 billion in AUM and a longstanding reputation for superior client service.The organization is a premier provider of value equity investment products that are fir
Job Source: Boston PartnersMan Group plc
Boston, MA, United States
Purpose of the role The Analyst role spans a broad spectrum of research, investment, and technical tasks as part of the investments team. The Analyst is expected to support all strategies from alpha generation through to implementation and work closely with other teams to create new and support existing strategies by identifying new investment ide
Job Source: Man Group plcWellington Management
Boston, MA, United States
About Us Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture
Job Source: Wellington ManagementBoston, MA, United States
Your Opportunity
At Schwab, you're empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us "challenge the status quo" and transform the finance industry together.
The Investment Guidelines Oversight Manager will be part of Schwab Asset Management (SAM). The overall SAM team is passionately committed to providing solutions that help Schwab clients achieve their financial goals. The Manager role will embody SAM's deep commitment to providing the highest fiduciary standards to our clients and funds' shareholders. Our clients can place the utmost trust and confidence in SAM to manage their money because we provide the fiduciary expertise and resources that our investment teams need in order to act in our clients' best interest.
It is the mission of the Investment Guidelines Oversight team to protect our shareholders and clients' interests by collaborating with partners across SAM, implementing best practices designed to detect, prevent, and mitigate potential breaches of investment guidelines. Our group manages and maintains the investment guidelines for all Schwab proprietary Mutual Funds, ETFs, Collective Trusts, and Separately Managed Account products. In addition to managing the guidelines, we also work to apply guidelines to their respective portfolios by ensuring proper oversight and compliance.
The Investment Guidelines Oversight Manager is responsible for monitoring trading activities of portfolio managers and sub-advisors to ensure compliance with agreements and investment guidelines. The ability to code compliance tests using compliance platforms such as Aladdin or Vestmark, or equivalent, is an important aspect of the position. The Manager will ensure that compliance tests are correctly and accurately coded, implemented and appropriately monitored. The Manager will also focus on supporting compliance rule validation and reporting requirements.
This role requires partnering with functional areas within SAM including Compliance, Legal, Portfolio Management, Investment Risk, Trade Operations, Product Management, Investment Manager Research, Program Management and Vendor Oversight. A key function of this role is the continued analysis of workflows and recommendation for process improvements along with capabilities to work independently on complex problem-solving initiatives. This role includes responsibility to stay abreast of regulatory changes and relevant industry changes/trends and implementing those changes on a go forward basis. This is an individual contributor role.
Primary responsibilities include:
Ensure guidelines monitoring system is applying regulatory and internal guideline requirements correctly
Monitor and manage day to day trading activities of portfolio managers in mutual funds, ETFs, and separately managed accounts
Code new compliance tests and improve existing tests within the order management system
Support daily, weekly and monthly functions related to the monitoring of investment guidelines for Schwab products
Assist team with streamlining/automating existing processes and procedures as well as with special projects
Work with external vendors to ensure appropriate monitoring of investment products
Establish/maintain relationships with SAM business partners
What you have Bachelor's degree preferred. Degree in Business, Economics, or related field preferred
At least 1-3 years experience within the Financial Services industry required
1-3 years experience with mutual funds and/or separately managed accounts preferred
Experience with investment management systems, especially Aladdin, Vestmark, CRD, Allvue (Everest) strongly preferred
Strong knowledge of compliance rule coding and monitoring best practices
Experience with relational databases and interpreting coding languages especially SQL or advanced use of Excel and Excel formula functions
General understanding of 1940 Act requirements a plus
Experience in Compliance, Research, or Investment Risk a plus
Excellent analytical and communication skills
Strong organizational skills with keen attention to detail and accuracy
Ability to balance competing priorities with strict timeframes and deadlines and ability to multi-task in a fast-paced environment
Demonstrated problem solving skills
Experience with various on-line trading resources, such as Bloomberg, preferred
In addition to the salary range, this role is also eligible for bonus or incentive opportunities.
Email Alert for Portfolio Compliance Analyst jobs in Boston, MA, United States
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