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.
- 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.