Analyst, Compliance (Monitoring, Testing, ADV, COE)

About Baron Capital

Baron Capital is a leading asset management firm founded in 1982. We believe that hiring, retaining, and nurturing talented individuals who share our passion for excellence, integrity, and innovation is the key to our success. This means creating a welcoming, inclusive, and inspiring environment for all, as well as providing the resources and support our employees need to succeed. We take pride in our exceptionally low turnover and consider it a testament to our culture of collaboration and open communication. If you are looking for a career where you are part of a dynamic team where you can truly make a difference, we invite you to consider joining us.

About the Role

Perform portfolio and trade surveillance to ensure that the firm maintains compliance with client guidelines and regulatory requirements. Conduct transactional, forensic testing and compliance reviews for adviser and fund portfolios. This individual will contribute to the oversight and timeliness of the compliance testing and monitoring program under the supervision of the Compliance Director. This individual will also contribute significantly to the administration of the Firms broker-dealer, COE, Form ADV updates, and trade cost analysis reporting.

Additionally, assist in supporting senior members of the department in the following areas:

• Handle mutual fund trade restrictions, guidelines, and 40 Act limitations on Charles River OMS.
• Trade Surveillance
• Commission and Soft Dollar reconciliations
• Monitoring and Testing
• Broker Dealer Administration
• FINRA Filings
• Code of Ethics Administration
• Client Due Diligence Reporting
• Form ADV
• Ad hoc projects

About the Team

The Compliance Department is comprised of the Chief Compliance Officer and seven compliance professionals.  The Compliance Department is primarily responsible for developing and monitoring policies and procedures and establishing a control environment to ensure compliance with federal law and regulations, as well as client guidelines and any other applicable rules.

Key Responsibilities

• Ongoing review and maintenance of the monitoring and testing program for the advisers and funds.
• Assist with mutual fund trade restrictions, guidelines, and 1940 Act limitations on Charles River OMS.
• Oversee post-trade compliance program at fund administrator. Review prospectus and SAI updates and update compliance testing matrices.
• Assist with post-trade and end-of-day batch investment compliance monitoring activities for client accounts and mutual fund portfolios.
• Research and document exceptions and communicate findings to CCO, Director of Investment Management Compliance and Monitoring and Fund Administrator.
• Manage testing in all compliance areas to include, TCA, insider trading surveillance, market manipulation surveillance, compliance with firm policies, etc.  Collect, review and organize information to support test results.  Suggest new tests to be developed.
• Assist in preparing weekly, monthly and quarterly compliance reports and certifications for assigned accounts.
• Interact on real-time basis with portfolio managers in an active trading environment.
• Assist in answering sub-advised clients’ DDQs and respond to other compliance inquires.

Qualifications

Education and Experience:

• Bachelor’s Degree required.
• 0-3 years of experience in compliance or related function.

Preferred Qualifications:

• Working knowledge of the investment adviser and/or mutual fund industry (i.e., compliance monitoring, fund accounting/administration, risk management, security operations, etc.)
• Knowledge of regulatory environment and some level of specific regulatory requirements for the Financial Services industry.
• Experience with compliance monitoring, testing, documenting results and escalating issues.

Skills and Abilities:

• Ability to handle multiple responsibilities across multiple entities and work independently.
• Ability to interact professionally and effectively with internal and external contacts using tact, discretion and good judgment.
• Ability to manage high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
• Excellent analytical and research skills.
• Experience with Microsoft Office required.
• Ability to work in team-oriented environment.
• Excellent written and verbal communication skills.
• Ability to prioritize and organize workload, multi-task and adapt quickly to change, and deliver under the pressure of deadlines.