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In-House
Law Student
Litigation - Whistleblower - CFTC
Compliance Consultant Intern The candidate will ensure purchases in affiliated transactions (i.e. Affiliated Underwritings and Cross Trades) on behalf of client accounts are effected in accordance with client guidelines and restrictions, internal policies and procedures, and all relevant regulatory requirements. May also be involved in a variety of compliance implementation, training, monitoring, remediation, testing, risk assessment and reporting of compliance matters within the company. Serve as subject matter expert to investment management personnel in Affiliated Underwriter Transactions and Transactions between affiliated accounts (Cross-Trades). Review affiliated underwriter transactions for compliance with applicable regulatory guidelines, including Section 23B of the Federal Reserve Act, Rule 10f-3 of the Investment Company Act of 1940, and ERISA Section 406. Review of transactions (Cross Trades) between client accounts managed by company to ensure compliance with applicable regulatory guidelines and client investment guidelines, including Rule 17a-7 of the Investment Company Act of 1940, and ERISA Section 408(b)(19). Liaise with Operations and Portfolio Management to meet company's quarterly and annual Form PF filing requirements. Create and enhance Compliance awareness; and provide training as needed. Review existing policies and procedures, identify areas for continuous improvements, draft and update policies and procedures, as required. Assist with various projects within company or group-wide within (WFAM). Interact with Internal Audit, External Auditors and Regulators. Perform forensic tests to assess the adequacy and effectiveness of company procedures.
Qualification and Experience
The candidate should preferably be pursuing a law degree at a college or university. Must have 6+ months of business related work experience through internship, co-op or part-time position. Broad knowledge of the Investment Advisers Act desired. Proficiency in full suite of MS Office applications (PowerPoint, Word, Excel and Outlook) preferred. Demonstrated Investment knowledge is desired. Demonstrated experience in data entry and data management is preferred. Application Deadline: July 9, 2015.
Job ID: 5122673
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