Perella Weinberg Partners

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Compliance Director, Asset Management

Compliance Director, Asset Management

Job ID 
2018-1412
City 
Denver
State 
Colorado

More information about this job

Overview

 

Reporting to the New York-based Chief Compliance Officer, the Denver-based Compliance Director will provide support to the Firm’s Outsourced CIO business, Agility, and the asset management business.

 

Responsibilities include, but are not limited to:

  • Significant day-to-day responsibility for management and ongoing evolution of the firm’s compliance programs, under the general supervision of the Chief Compliance Officer
  • Identify risks and conflicts of interest related to the firm’s business model, work with internal groups to assess risks and conflicts and develop related procedures and controls to mitigate them
  • Establish and review daily, monthly and quarterly investment compliance reports
  • Act as compliance liaison to several internal committees
  • Perform monthly, quarterly, and annual reporting with respect to the Firm’s sub-advisory relationships
  • Review important areas of compliance such as allocation of investment opportunities, performance dispersion across client accounts, and relevant investment guidelines
  • Work closely with Firm’s portfolio managers as well as middle and back office operations functions to address, from a compliance perspective, operational issues related to management of multiple accounts
  • Assist in drafting and evaluating policies and procedures with respect to the Outsourced CIO business and asset management as a whole
  • Participate in the day-to-day administration of the Firm’s sub-advisory compliance program by developing and maintaining an inventory of rules (“Investment Guidelines”) stemming from Investment Company Act (’40 Act), Investment Advisers Act, CFTC and IRS regulations as well as the requirements of the prospectus, SAI and policies established by the principal advisor/board of each fund
  • Other compliance projects or tasks as needed

Desired Skills and Background:

  • Bachelor’s degree
  • 5-10 years of compliance, regulatory risk, or operations experience with an investment advisory firm
  • Understanding of ’40 Act, Investment Advisers Act and CFTC compliance requirements
  • Preferred experience with multiple security types and products, such as equity, fixed income and alternative investments, such as swaps, futures, forwards, options and structured products
  • Strong experience with spreadsheets is preferred, including knowledge of utilizing advanced formulas
  • Proficiency with Eze Castle Order Management System, Geneva, Bloomberg and MS Office is preferred and ability to learn new systems quickly is required
  • Strong analytical and problem-solving skills with indisputable attention to detail and ability to make and implement decisions
  • Must be deadline oriented
  • Must be a team player and function well in a team environment; this role requires sharing ideas, knowledge and supporting the goals of the team
  • Intuitive sense of honesty and highest ethical standards