Senior Compliance Analyst - Employee Ethics and Conduct
Virtus Investment Partners
Location: This role may be remote or alternatively, sit in Chicago, Atlanta, or New York City with ad hoc travel to Hartford, CT.
Primary responsibility of monitoring compliance with the firm’s Code of Ethics for personal trading and related employee governance. Supports and advances the overall design, implementation, and ongoing monitoring of protocols in place to address the compliance requirements for Virtus enterprise-wide Code of Ethics administration and other compliance administrative activities. May be called upon to assist in the monitoring of protocols/systems used to monitor compliance with portfolio guidelines/limits or other compliance projects. Other responsibilities are available as part of the corporate compliance team.
Job Responsibilities:
Interprets, provides advice; and administers and monitors the firm’s Code of Ethics for personal trading and related policies addressing employee conduct.
Ensures on a continuing basis that COE requirements, dependent feeds, and databases are properly coded in the compliance monitoring systems.
Ensures accuracy of reports -Identifies violations of compliance rules, and policies.
Review and analyze trading reports to identify exceptions, warnings or patterns -Provides ongoing training to employees related to the Code of Ethics.
Supports compliance project teams to complete project tasks on time and in a timely manner.
Specific Qualifications:
Bachelor’s degree, preferably with a business focus, accounting/finance. MBA and/or FINRA Series 7/24 a plus.
Minimum of 3-5 years of progressive experience at investment advisory firms.
Understanding of compliance (fund, adviser and broker-dealer), all investment products, internal control structures, Investment Advisers Act of 1940 and Investment Company Act of 1940.
Experience with Code of Ethics or similar administration.
Experience in portfolio guidelines systems (CRD, Bloomberg, BNY DRAS, etc.).
Intermediate knowledge of Excel, Word and managing large amounts of numeric data.
Strong analytical, problem solving and communications skills.
Ability to prioritize multiple tasks and work under pressure while maintaining attention to detail.
Regular and reliable attendance, able to work overtime as necessary to keep current with work.
This role requires visibility to and ongoing understanding of the entire Virtus enterprise including affiliate and unaffiliated subadvisers and service providers. Collaborates with fellow team members to achieve objectives within the project timeline.