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Director of Portfolio Compliance
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- The Director of Portfolio Compliance will report to the Deputy Chief Compliance Officer (“Deputy CCO”) and will be an integral part of the Legal and Compliance Department (“Department”).
- Maintain Monthly CCO reporting and conduct analysis to determine if the work is allocated fairly and make workflow enhancement changes, where necessary
- Work with Portfolio Managers, Portfolio Specialists, Traders and/or Client Service Representatives to cure guideline issues in a manner consistent with Loomis’ fiduciary duty to its clients and draft error notification letters
- Conduct error analysis and statistics for the CRD Compliance Team and draft quarterly error memos for the Chief Compliance Officer and Deputy CCO and make recommendations for enhancements in problematic areas
- Review Investment Company, Investment Adviser and ERISA regulations for investment eligibility requirements
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