Compliance Specialist

6 days ago

Singapore Loomis, Sayles & Company, L.P. Full time

**Function**:Legal & Compliance**Job ID #**:1203
- ***

**Department**:Community Investments**Position Type**:Full-Time**Education Required**:See Job Qualifications**Location**:Singapore**Experience Required**:See Job Qualifications**Position Description**

Loomis Sayles has implemented the Charles River Compliance System (“CRD”) to automate its compliance with its clients' guidelines and restrictions. This is an extremely important area within the organization and it is a capability that differentiates Loomis Sayles from many of our competitors.

The Portfolio Compliance Specialist will be an integral part of the legal and compliance department, primarily responsible for monitoring client investment guidelines for Loomis Sayles client accounts in the Charles River Compliance System ("CRD") and working with investment professionals to resolve guideline exceptions. Secondary responsibilities include assisting the compliance manager(s) with reviewing new client guidelines and amendments thereto, ensuring the accuracy and timeliness of rule coding in CRD and working on various ad hoc projects. The Portfolio Compliance Specialist must be very familiar with all fixed income and equity instruments, and experience with complex securities and derivatives is very desirable.

**Job responsibilities**:

- Daily monitoring of compliance alerts in CRD and analysis of client investment guidelines to determine if a guideline breach has occurred
- Work with the manager and compliance professionals in Boston to resolve guideline issues
- Assist the manager in reviewing, analyzing and interpreting restrictions found in client contracts, guidelines, amendments and other correspondence
- Assist the manger in coding client investment guidelines into CRD
- Assist the manager in testing client restrictions as they are input into CRD, providing feedback and solutions for issues that arise
- Prioritize work in order to efficiently meet all deadlines
- Promote teamwork and work effectively with other members of the compliance department and other departments/offices of Loomis Sayles globally
- Participate in ad hoc projects and tasks as necessary

**Qualifications**
- Bachelor’s degree in business, finance, accounting or management
- Charles River Compliance rule coding experience is desirable
- 3 - 5 years of investment adviser guideline compliance experience
- Broad knowledge of fixed income and equity securities required; experience with municipal bonds a plus
- Prior experience with foreign exchange contracts and other derivatives a plus
- Detail oriented with strong organizational skills
- Strong written and oral communication skills

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