Associate, Compliance - Houston, United States - Vaughan Nelson Investment Management

Description

This position provides an excellent opportunity for a self-motivated, hands-on individual with basic knowledge of the Investment Industry to broadly expand that knowledge as an integral part of a 4-person compliance department.This position will be involved in the daily review of control reports and other forms of oversight to monitor and ensure the firms compliance policies are adhered overall.The position will also be involved with the annual assessment and testing of the compliance program.

This staff position will report primarily to the Chief Compliance Officer and be responsible for:

Key Performance Indicators:

• Compliance Control Monitoring assisting with the performance of weekly, monthly and quarterly procedures undertaken to ensure portfolios are managed within guidelines and in accordance with firm policies and disclosures.Utilize and assist with maintaining the Charles River Development Compliance System in supporting contractual guidelines and restrictions.
• Mutual Fund Compliance and Reporting monitoring fund compliance with the Investment Company Act of 1940, preparing materials and supporting the requests and requirements of mutual fund Boards for several funds where the firm acts as sub-advisor.
• Regulatory Reporting Aggregation and reporting of information relating to Forms 13F, 13D, 13G and 13H.
• Compliance Procedures Perform various tasks, tests, reconciliations, documentation, etc. in support of compliance objectives.Assist with the enhancement of procedural documentation in support of overall compliance policies and objectives.
• Annual Assessment of Compliance Program Helping to perform various testing and procedures to assess the effectiveness of compliance system throughout the year in support of the required annual reporting summary to the Board, Audit Committee, and others.
• Special Projects Assist with the implementation of longer-term projects and analyses as requested by the Chief Compliance Officer.

Qualifications:

Bachelor's Degree from an accredited University

One or more years of Compliance Experience

Ability to work in a team environment.

Ability to understand key concepts around Compliance subjects for an Investment Firm

Ability to learn independently with minimal training