Trading/Compliance Administrator

The role of the Trading/Compliance Administrator is to provide research and support to assist the Chief Investment Officer and to assist the Compliance Officer in developing, enhancing and implementing the compliance program.

Duties

• Provide analysis of current data and conduct research on mutual funds; produce reports
• Execute accurate and timely trades; confirm trades
• Understand and adhere to all trade restrictions
• Develop and administer Compliance policies and procedures
• Perform testing and results reporting of Compliance policies and procedures
• Calculate composite performance numbers in compliance with SEC requirements

Qualifications

• College degree in Business preferred (with some emphasis in accounting or corporate finance & laws)
• REQUIRED - 3+ years investment experience
  • Trading and Compliance experience
• Regulatory licenses such as Series 65 and Series 6
• Proficiency in Microsoft Office applications
• Strong analytical skills
• Strong oral and written communication skills
• Excellent organizational and time management skills
• Able to perform multiple tasks under deadline driven situations with accuracy
• Detail oriented
• Positive attitude