Manager of the TCW, MetWest, and TCW Alternative Fund Families
Team Lead, Investment Compliance
- Commensurate with experience
- Los Angeles, CA, USA
- Permanent, Full time
- 12 Jan 18
The Team Lead, Investment Compliance will join a team of investment compliance professionals that provides compliance support to our investment teams, as well as other functions within TCW. Specifically, this individual will be responsible for monitoring current holdings and daily trading activity against client guidelines, restrictions, internal policies/procedures, and relevant regulatory requirements.
- Review and interpret all governing documents, including but not limited to Investment Management Agreements (IMA), Prospectuses, Statement of Additional Information (SAI), and Fund Declarations.
- Identify and resolve any issues/concerns with investment guideline interpretation.
- Review systematic feasibility of investment guidelines and provide guidance/expertise as it relates to coding in our compliance monitoring system, Charles River (CRD).
- Provide quality control reviews related to the new account setup and guideline change process.
- Review EOD portfolio compliance results, identify and resolve any active or passive compliance issues.
- Work with Portfolio Management, Trading, Data Management and others within Investment Compliance to determine trade suitability, review daily trading activity and identify and resolve any associated compliance issues.
- Identify ways of creating efficiencies/improving processes to the Investment Compliance program using best practices.
- Effectively participate in internal and external audits of controls and associated testing.
- Undertake special compliance-related projects as assigned.
- Bachelor’s degree with 6+ years of relevant experience, including knowledge and use of CRD.
- Solid working knowledge and understanding of capital markets; experience with fixed income, equity and derivative instruments.
- Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and other regulatory requirements.
- A self-starter who takes initiatives and works independently.
- A team player who can effectively work with and provide leadership to others.
- Strong analytical skills with excellent attention to detail.
- Excellent verbal and written communications skills.
- Excellent organizational skills and the ability to prioritize multiple requests from a variety of sources.
- CRD knowledge or equivalent experience.
- Proficiency in Bloomberg and other major software applications.