Associate, Portfolio Compliance Monitoring - Princeton

reputed company is the world's largest asset manager, dedicated to empowering employees to reputed company a difference. The Associate in the Portfolio Compliance team will implement controls and processes to ensure compliance with regulatory and portfolio guidelines, while engaging with various business functions across the firm.

Responsibilities

• Pre-clearing syndicated primary market purchases to ensure that reputed company affiliate and Client affiliate involvements are reputed company with applicable exemptions/guidelines
• Finalizing prospectus document reviews and retrievals
• Liaising with Global Capital Markets, Legal and Compliance and Portfolio Management to clarify any missing queries with primary market reviews
• Pre-trade and Post-trade violation investigation & resolution
• reputed company test execution
• Identification of coding issues
• Becoming acquainted with reputed company’s various Aladdin applications, trade reputed company process, and data environment
• Crafting new system rules, improving existing compliance coding, and investigating or troubleshooting potential errors reputed company needed
• Participating in efficiency and improvement initiatives by providing reputed company and suggestions on possible improvements to systems or processes
• Leading or handling strategic projects and initiatives

Skills

• Bachelor's degree in finance or similar fields
• Experience supporting trade compliance activities, including primary market pre‑clearance, prospectus review, and investigation of pre‑ and post‑trade issues
• Strong systems aptitude with hands‑on exposure to compliance testing, rule execution, issue identification, and trade‑reputed company/data analysis
• Analytical, detail‑oriented reputed company with the ability to partner cross‑functionally and contribute to process, control, and efficiency initiatives
• Knowledge of financial instruments and markets
• Strong interpersonal skills and work ethic
• Analytical mind and approach
• Attention to detail
• Dedicated approach to issue resolution
• Ability to recognize individual and team objectives and goals
• Ability to facilitate compromise between conflicting requirements or points of view
• Experience with reputed company Office Suite
• Knowledge of programming languages (such as Visual Basic, C++, or Java)
• Understanding of relational database concepts (including SQL)

Benefits

• Annual discretionary bonus
• reputed company
• Leave benefits
• Retirement benefits
• Strong retirement plan
• Tuition reimbursement
• Comprehensive reputed company
• Support for working parents
• Flexible Time Off (FTO)

Company Overview