Position SummaryThe Investment Compliance Analyst will be a member of TCW’s Portfolio Compliance team 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.Essential DutiesReview and interpret all governing documents, including but not limited to Investment Management Agreements (IMA), Prospectuses, Statement of Additional Information (SAI), and Fund DeclarationsIdentify and resolve any issues/concerns with investment guideline interpretation Participate in the new account setup and guideline change processReview 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 issuesUndertake special compliance-related projects as assignedIdentify ways of creating efficiencies/improving processes to the Investment Compliance program using best practicesEffectively participate in internal and external audits of controls and associated testingRequired QualificationsBachelor’s degree with with 3-4 years’ relevant experience, including knowledge and use of CRD.Working knowledge and understanding of capital markets; experience with fixed income, equity and derivative instrumentsBasic knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and other regulatory requirementsExcellent verbal and written communications skillsProficiency in Bloomberg and other major software applicationsProfessional Skills QualificationsA self-starter who takes initiatives and works independentlyStrong analytical skills with excellent attention to detailExcellent organizational skills and the ability to prioritize multiple requests from a variety of sourcesJob SummaryJob ID: 2020-1504Category: Risk Management-InvestmentsDepartment: Investment Compliance