PC literacy in Microsoft Office program applications, Bloomberg, Working knowledge of Finance and Accounting principles
Portfolio Compliance Analyst September 2013 to CurrentCompany Name － City, State
Analyze account transactions and portfolio holdings in order to conduct a full post - trade compliance verification for all separate accounts and offshore mutual funds Perform detailed holdings analysis to detect any guideline breaches in client portfolios and monitor all outstanding compliance issues from time of breach through resolution Research of potential compliance issues; review, evaluate and escalate post-trade compliance warnings and alerts; identify and resolve multiple guideline breaches Review, interpret, clarify and maintain portfolio guidelines and restrictions; enhance multiple automated and manual restrictions in client accounts contributing to improved and more efficient audit process Perform detailed compliance analysis of all rules in internal compliance systems; perform various manual calculations required to ensure portfolio compliance Daily interactions with Account Management and Portfolio Management in an effort to resolve outstanding violations Client reporting; prepare yearly, quarterly and monthly compliance reports, certifications and letters Special projects and assignments; analysis of security transfers and their impact on existing portfolio, guideline revisions, special requests from Account Management Team.
Senior Associate April 2011 to August 2013Company Name － City, State
Liaised closely with custodian banks and PIMCO US/Global offices to facilitate new account setup, asset transfers, custodian changes, mergers, and terminating accounts (for mutual funds, separate, and liquidating accounts).
Assisted with Country Market Opening team to answer PIMCO AMs, ACE, and Trade Compliance inquiries regarding open markets and pending trades for new and existing accounts.
Developed and streamlined department processes resulting in the reduction of team errors and help improve overall efficiencies.
Tested, troubleshot, and documented new technology enhancements including Inquiry Manager, VDI and Outlook 2010.
Custody and Fund Accounting Manager June 2008 to April 2011Company Name － City, State
Established, implemented and ensured compliance with appropriate policies, procedures and controls Ensured the team was adequately trained, assigned work to staff, monitored performance and reported results Ensured that all admin daily work was completed on time and in accordance with Standard Operating Procedures Reviewed funds' activity to ensured accuracy of NAV and yield calculations Ensured funds' books and records were reconciled and periodic reviews were completed, trained staff, responded to client and audit inquiries in a timely and accurate manner Assisted the Account Officers in the group with management of Client relationships Managed workflow to ensure compliance, coordination and monitoring of service requirements Completed annual performance appraisals of staff.
Senior Mutual Fund Accountant August 2004 to June 2008Company Name － City, State
Served as a Fund Accountant for tax exempt money market funds managed by Blackrock and a mortgage backed fund managed by Voyageur and tax exempt municipal bond funds managed by Blackrock and Pioneer Prepared Cash Projection reports daily to assist Portfolio Managers as well as long and short traders and Net Asset Value Statements daily to efficiently calculate fund yields Calculated and verified futures and swaps contracts Performed daily bank reconciliations and updated the General Ledger Calculated daily interest rate/sales adjustments, gains/losses on trades, interest amortization schedules, estimated and performed write offs, prepared custody inquiry requests, researched Bloomberg regarding coupon discrepancies and prepared research reports for senior management Prepared detailed monthly reports that summarized all pertinent activity about my assigned funds Trained accountants and new hires on open and closed end daily operations and single class closed ended municipal bond funds.
Staff Auditor January 2004 to August 2004Company Name － City, State
Performed fieldwork of internal control evaluation tests, confirmation with customers and report preparation.
performed testing of financial and operational procedural control as well as regulatory compliance with BSA, AML and Sarbanes Oxley requirements.
Performed office and administrative special investigations/projects.
Responsible for report preparation and risk analysis.
Bachelor of Science : Finance, May 2003KEAN UNIVERSITY － StateFinance
MBA : Management, May 2009FAIRLEIGH DICKINSON UNIVERSITY － City, StateManagement
Resumes, and other information uploaded or provided by the user, are considered User Content governed by our Terms & Conditions. As such, it is not owned by us, and it is the user who retains ownership over such content.
FAIRLEIGH DICKINSON UNIVERSITY
Job Titles Held:
Portfolio Compliance Analyst
Custody and Fund Accounting Manager
Senior Mutual Fund Accountant
Bachelor of Science : Finance , May 2003 MBA : Management , May 2009
Create a job alert for [job role title] at [location].