Los Angeles, California, United States · On-site
$100k–$115k/yr
Job DetailsLevel: ExperiencedJob Location: Los Angeles, CA - Los Angeles, CA 90071Position Type: Full TimeEducation Level: 4 Year DegreeThe Analyst, Portfolio Compliance will play an integral role within the Compliance t…
Skills: Portfolio Compliance, Trade Monitoring, Investment Guidelines, Bloomberg CMGR, Investment Company Act of 1940
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The Analyst monitors trade activities to ensure accounts adhere to investment guidelines and regulatory limits. They are responsible for implementing compliance rules, researching issues, and collaborating with investment and legal teams.
Requires a bachelor's degree in Business, Finance, or Accounting and 3-7 years of experience in investment management compliance. Proficiency in compliance engines like Bloomberg CMGR and Excel VBA is essential.
Job DetailsLevel: ExperiencedJob Location: Los Angeles, CA - Los Angeles, CA 90071Position Type: Full TimeEducation Level: 4 Year DegreeThe Analyst, Portfolio Compliance will play an integral role within the Compliance team monitoring trade activities to ensure DoubleLine advised accounts maintain conformity with investment guidelines and regulatory limits.
Review and interpret investment guidelines for commingled funds and separately managed accounts.
Implement and test automated and manual compliance rules and monitor adherence of trade activities to these rules.
Research potential issues stemming from the trade monitoring and work with the Investment teams to resolve these matters.
Assist with the preparation of monthly and quarterly client reporting.
Collaborate with various business units, including Investment teams, Legal, Technology, Client Services and Operations.
Participate in ad hoc projects, including process improvements and technology initiatives to enhance operational efficiency.
Qualifications
Bachelor’s degree, preferably in Business, Finance, Accounting or another related field.
3-7 years of experience in the investment management industry, including experience in trade/portfolio compliance.
A comprehensive understanding of the trade/portfolio compliance function, including familiarity with a compliance engine (i.e., Bloomberg CMGR or similar systems), is required.
Knowledge of Investment Company Act of 1940, UCITS and other common regulatory regimes.
Proficiency in Microsoft Office products, particularly Excel with the ability to code macros using Visual Basic and other tools.
The estimated base salary range for this position is $100,000 -$115,000. In addition to base salary, this position is eligible for an annual discretionary bonus, plus a comprehensive benefits package
DoubleLine is an independent, employee-owned money management firm, founded in 2009. The firm offers a wide array of investment strategies run by an experienced team of portfolio managers that has worked together for many years, employing active risk management, in-depth research, and innovative product solutions. Led by CEO-CIO Jeffrey Gundlach, DoubleLine was founded in 2009 when Mr. Gundlach came to believe his goal of asset management excellence was not shared by owners of the firm that his team had built to prominence over the preceding 24 years. "Active management permeates all stages of the investment process. Starting with the top-down macroeconomic outlook, which influences sector rotation, yield curve positioning and credit exposures, to the bottom-up security selection, each step in the process is focused on finding the best reward-to-risk opportunities." -Jeffrey Sherman, CFA, DoubleLine Deputy Chief Investment Officer
Offices: 2002 N. Tampa St., Suite 200, Tampa, Florida 33602, US · 333 S. Grand Avenue, 18th Floor, Los Angeles, CA 90071, US
DoubleLine is an independent, employee-owned money management firm, founded in 2009. The firm offers a wide array of investment strategies run by an experienced team of portfolio managers that has worked together for many years, employing active risk management, in-depth research, and innovative product solutions. Led by CEO-CIO Jeffrey Gundlach, DoubleLine was founded in 2009 when Mr. Gundlach came to believe his goal of asset management excellence was not shared by owners of the firm that his team had built to prominence over the preceding 24 years. "Active management permeates all stages of the investment process. Starting with the top-down macroeconomic outlook, which influences sector rotation, yield curve positioning and credit exposures, to the bottom-up security selection, each step in the process is focused on finding the best reward-to-risk opportunities." -Jeffrey Sherman, CFA, DoubleLine Deputy Chief Investment Officer
Offices: 2002 N. Tampa St., Suite 200, Tampa, Florida 33602, US · 333 S. Grand Avenue, 18th Floor, Los Angeles, CA 90071, US
