We believe that the success of our firm is thanks to its people and their commitment to excellence. We lead with integrity, foster an ownership mindset, embrace teamwork and seek to always make choices that maintain our most important legacy – our reputation. As of March 31, 2020, FPA manages approximately $23 billion across multiple strategies. Independently owned, FPA has 88 employees, with 31 investment professionals. If you are interested in applying for any of the jobs listed below, please click on the link and submit your application. Resume and cover letter are required.
Qualified applicants will receive consideration for employment without regard to the fact or perception of their race, color, national origin, ancestry, alienage or citizenship, religious creed or belief, physical or mental disability, medical condition, pregnancy, genetic information, marital/domestic partner status, sex, gender, gender identity, gender expression, age, sexual orientation, military and veteran status, or any other basis protected under federal, state or local law.
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The Compliance Analyst will be responsible for supporting day-to day compliance monitoring responsibilities of the Compliance Department, including, but not limited to, guideline compliance monitoring, Code of Ethics and conflicts policy monitoring, coordination of monthly and quarterly client compliance certifications, expert network monitoring, and forensic testing.
1. Daily guideline compliance monitoring including, but not limited to, reviewing post trade compliance alerts prior to market open, review of compliance alerts during trading day, and updating restricted lists. Guideline compliance responsibilities also include new account setup, which involves reviewing and interpreting new account guidelines, creating new rules in the system as needed, and setting up the account in the system.
2. Assist with global shareholder disclosure regulatory filings.
3. Monitoring of Code of Ethics and conflicts of interest policies, including personal trading, gifts and entertainment, outside business activities, charitable contributions, sponsorships and political contributions. This includes, for example, pre-clearance of personal trades and political contribution requests, coordinating the quarterly compliance certification process, and ensuring data and broker feeds are loading properly into the firm’s personal trading system.
4. Assist with the forensic testing program, including expert networks, code of ethics related testing, and trade related testing (e.g., side by side testing, performance dispersion, etc.).
5. Coordinate across multiple internal departments to compile and complete monthly and quarterly client compliance certifications.
6. Assist with Compliance Calendar Management and Special Projects as needed. Special projects may include items such as analyzing new regulations, assisting with policy development or updates, assisting with annual compliance program reviews, among other projects.
1. Bachelor’s degree with 5-7+ years of relevant compliance experience
2. Solid knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and other regulatory requirements
3. Experience with Charles River Development and/or Complysci PTCC (personal trading system) systems is a plus
4. Quicker learner and a self-starter who takes initiative and a proactive approach to work including the ability to think ahead and “connect the dots”
5. High level of integrity with ability to work independently and exercise appropriate judgement including knowing when to escalate matters to the CCO or other compliance team members
6. Strong analytical and problem-solving skills with meticulous attention to detail
7. Excellent verbal and written communications skills with the ability to develop and maintain good working relationships including the ability to foster cooperation, but also professionally assertive when necessary to complete tasks
8. Excellent organizational and time management skills with the ability to prioritize and manage multiple tasks, projects and requests from a variety of sources with varying priorities and deadlines
9. Proficiency in Microsoft Word, Excel, Outlook, and Adobe Acrobat DC.
Candidates must submit their resume and cover letter to firstname.lastname@example.org. Submissions must include “Senior Compliance Analyst” in the subject line for consideration.
FPA is an Equal Opportunity Employer.