- Performing forensic testing and surveillance activities to detect and resolve potential compliance issues;
- Assisting with regulatory examinations and internal audits;
- Monitoring private fund and employee personal trading;
- Advising employees regarding company policies and procedures;
- Assisting in the preparation of regulatory filings;
- Maintaining internal books and records;
- Assisting in the identification of potential conflicts of interest and compliance risks;
- Leading training sessions related to the Code of Ethics; and
- Staying updated on securities laws and regulations.
- Bachelors degree required;
- Excellent communication and presentation skills;
- Strong knowledge of Microsoft Excel (including v-lookup and pivot tables), PowerPoint and Word;
- Exceptional attention to detail and organizational skills; and ability to execute multiple projects (short and long term) accurately and on time;
- Working knowledge of complex investment strategies and financial products, especially fixed income and derivatives, and familiarity with securities laws and regulation, including the Investment Advisers Act and Investment Company Act, is required;
- Relevant experience at a SEC-registered investment adviser or investment adviser consultant is preferred.
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compliance analyst - Miami, United States - Bayview Asset Management
Description
Overview:
Bayview Asset Management, LLC is a private fund manager focused on mortgage and consumer credit, including whole loans, asset backed securities, mortgage servicing rights, and other credit-related assets. The Compliance Analyst supports the Chief Compliance Officer in the administration of the firms investment adviser compliance program.
The position requires individuals to demonstrate an understanding of securities laws and complex business transactions. The ideal candidate will possess a strong work ethic, the ability to work independently, excellent organizational skills, attention to detail, and prior experience at a SEC-registered investment adviser or investment adviser consultant. The successful candidate must be able to meet tight deadlines, multi-task, and demonstrate strong communication skills. Successful candidates will be energetic, self-motivated, and team-oriented individuals who thrive on challenges in a fast-paced, dynamic environment. The salary range for this role is between $100,000 to $150,000 plus discretionary year end bonus; however, Bayview considers several factors when extending an offer, including but not limited to, the role and associated responsibilities, a candidates work experience, education/training, location and key skills. Person will also be eligible for excellent benefits.
Responsibilities:The Compliance Analyst reports to the Chief Compliance Officer and performs various activities as part of Bayviews investment adviser compliance program, including:
Physical Demands and Work Environment
While performing the duties of this job, the employee is regularly required to sit and use hands to finger, handle, or feel objects, tools, or controls. The employee frequently is required to talk and hear. The employee is occasionally required to stand; walk; reach with hands and arms. The employee is rarely required to stoop, kneel, crouch, or crawl.
The employee must regularly lift and/or move up to 30 pounds. Specific vision abilities required by this job include close vision, color vision, and the ability to adjust focus. The noise level in the work environment is usually moderate.
EEOC
Bayview is an Equal Employment Opportunity employer. All aspects of consideration for employment and employment with the Company are governed on the basis of merit, competence and qualifications without regard to race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, or any other category protected by federal, state, or local law.
