Job Description:

Entry Level Compliance position responsible for a variety of key functions required to meet regulatory requirements of the registered investment adviser compliance program of Interactive Data Pricing and Reference Data.

• Collects and substantively reviews annual and quarterly personal transaction reports and other reports required under the company’s Code of Ethics, with reports to CCO
• Maintains and updates Access Person lists, with information from HR, and notifies all new Access Persons of reporting requirements, with follow up to meet regulatory deadlines
• Assists in preparing new and revised investment adviser policies and controls, especially for Code of Ethics and Access Person reporting
• Assists in testing and monitoring of compliance procedures and controls, and participates in quarterly review meetings with asset class managers
• Responsible for tracking client advisories that involve process or control issues, with follow up to ensure business line resolution of issues
• Responsible for conducting quarterly email sampling and email reviews, with reports to CCO
• Responsible for portions of annual compliance testing, including collection and review of Code of Ethics certifications and other certifications of adherence to policies
• On a project by project basis, meets with company personnel to provide Compliance input and representation
• Informs CCO of issues identified during duties and makes recommendations for resolution
• Prepares/assists with preparation of Compliance training materials
• Responds to inquiries from company personnel on compliance matters for which responsible
• Maintains Compliance Department files to meet regulatory requirements
• Other duties, as assigned from time to time by the CCO

Qualifications:

• Bachelor’s degree and a minimum of 2 years of experience with a securities firm, preferably an investment adviser or mutual fund complex, in a compliance position. Fixed income securities knowledge or experience a plus.
• Proficient in Microsoft
• Excellent oral and written communication skills
• Focus on detail and produce highly accurate work product
• Must be able to work with and maintain confidential material
• Must be able to work on diverse tasks simultaneously while meeting all regulatory deadlines
• Must be able to work under own initiative and exercise judgment to assist in determining compliance issues and for prioritizing compliance tasks
• Willing to learn compliance requirements in order to provide guidance on regulatory and compliance program requirements in discussions/meetings with company personnel
  

Interactive Data is an Equal Opportunity Employer.

Job Keywords: Compliance Associate 3931