Portfolio Compliance Analyst
Job Details
Experienced
Los Angeles, CA - Los Angeles, CA
Full Time
4 Year Degree
Description

 

The Portfolio Compliance Analyst will assist the team with monitoring DoubleLine’s compliance program as it relates to the oversight and due diligence review of the duties and responsibilities of a registered investment advisor and registered investment companies.

 

Job Functions

 

  • Perform pre- and post-trade compliance monitoring for all asset classes on commingled funds, separately managed accounts and registered funds.
  • Utilize order managements systems, such as Bloomberg/CMGR, as it relates to the trade flow process for fixed income securities.
  • Perform data extraction and initiate troubleshooting compliance engines.
  • Assess, onboard and guide the implementation of compliance technologies/systems.
  • Develop, test and implement automated rules within the monitoring systems and manual monitoring procedures for non-automated rules.
  • Collaborate with IT to create robust systems with a focus on automation and that support a streamlined approach to monitoring compliance.  
  • Review investment guidelines for separately managed accounts as well as the investment objectives and parameters of affiliated or sub-advised open-end and closed-end mutual funds.

Qualifications

 

  • Bachelor’s degree, preferably in Business, Finance or Accounting.
  • 3-7 years experience in the investment management field, including experience in trade/portfolio compliance.
  • Familiarity with a compliance engine (i.e. Charles River, Aladdin, CMGR or another system) is required
  • Knowledge of CMGR/Bloomberg compliance systems is preferred, but not required.
  • A fundamental understanding of the inner workings of pre-trade compliance functionality.
  • Strong knowledge of MS Office products and particularly Excel with a focus on macros and visual basic
  • Ability to interact professionally at all levels of a tightly integrated team, including portfolio managers and traders.
  • Strong attention to detail and the ability to function independently.
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