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Company Contact Info

  • Houston, TX
  • Leslea Scott

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Compliance Officer

Icon Information Consultants • Houston, TX

Posted 27 days ago

Job Snapshot

Travel - None
Experience - At least 3 year(s)
Degree - 4 Year Degree
$30.00 - $35.00 /Hour
Accounting - Finance
Relocation - No


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Job Description

Job Purpose (Job Summary): To provide temporary support to the Advisory Compliance team that focuses on fixed income products. This position will be responsible for policies, procedures and controls to support investment teams in real time and through ongoing projects.

Key Responsibilities / Duties:
• Support the ongoing compliance needs of fixed income products
• Assist with the maintenance and support of the compliance program
• Perform a variety of automated and manual compliance reviews
• Interact with regional compliance teams and other departments on various compliance monitoring activities
• Assist in responding to internal and external inquiries and surveys
• Assist with the onboarding of new product lines and client accounts
• Maintain and update compliance policies and procedures assigned with oversight and direction from manager

Job Requirements

Work Experience / Knowledge:
• Minimum 3 years’ experience within a compliance program
• Knowledge of fixed income products
• Portfolio monitoring experience strongly preferred
Skills / Other Personal Attributes Required:
• A self-starter with the ability to work independently and in a group setting
• Strong quantitative, analytical and problem-solving skills
• Ability to interact well with all levels of employees
• Familiarity with trading systems and their compliance component such as Aladdin or similar order management/compliance rules based systems
• Proficiency in the Microsoft Office suite of applications is required
Formal Education:
• Bachelor‘s degree in a relevant field of study required

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