Transaction Compliance Associate

3 weeks ago

London, United Kingdom Cambridge Associates LLC Full time

THE OPPORTUNITY

As a unit of the Compliance Department, the Transaction Compliance Associate is responsible for monitoring all portfolios managed by Cambridge Associates Outsourced Chief Investment Officers (OCIOs) for compliance with the firm and client’s investment guidelines.

RESPONSIBILITIES

·Establishing a thorough understanding of client investment policy statements and the policies of Cambridge Associates and CA Capital Management.

·Creating and maintaining appropriate Excel models to monitor portfolio compliance both pre- and post-trade.

·Ensuring all transaction-based compliance issues are properly investigated, documented, and incorporated into monthly reports.

·Assist the Transaction Compliance Manager in proposing policy amendments to address identified risks and/or inefficiencies.

·Working with other departments within the firm to timely complete various regulatory filings.

Secondary Responsibilities

·Serving as a policy resource to members of the investment, legal, management and operational teams.

·Assisting in the vendor due diligence oversight process.

·Staying abreast of industry trends through personal research, networking, and conference attendance.

·Providing coverage for absent Trade Compliance team members

·Performing other ad hoc requests as assigned.

QUALIFICATIONS

·Some relevant work experience within the financial services industry, preferably in an investment compliance or audit environment preferred.

Bachelor’s degree in business, finance, or related field with a record of high academic achievement. Advanced proficiency in Microsoft Excel. Strong quantitative, analytical, and communication skills. Familiarity with the major asset classes and their role in an investment portfolio. Prior Experience with Charles River, Bloomberg AIM, or Eze Castle compliance software a plus Demonstrated problem solving skills, multi -tasking abilities, and sound judgment. A demonstrated ability to work independently and as part of a team

Please submit cover letter and resume for consideration

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