Investment & Compliance Analyst (New York, NY)
- Conduct in-depth fundamental and technical analysis using TD Ameritrade’s Investor Tools and analyze potential impact of public policy on financial markets at a Registered Investment Advisor (RIA) firm.
- Interpret financial market behavior and trends and present portfolio management performance reporting results to senior management to evaluate impact on the company’s model portfolio. Analyze and study key market indicators, performance, and economic health to assist in compiling reports for various purposes, including advisor podcasts, radio shows, and client teleconference calls.
- Report to the Chief Compliance Officer (CCO) and assist the CCO with the administration of compliance policies and procedures as per Rule 206(4)-7 under the Investment Advisers Act of 1940 (“Investment Advisers Act”) at the company’s registered investment advisor (RIA) firm.
- Demonstrate comprehensive understanding of RIA fiduciary and compliance standards and support the overall compliance initiatives at Payne Capital Management. Responsible for executing CCO delegated duties related to investment adviser compliance and administration of additional policies, procedures and internal controls that may be developed to strengthen the investment adviser’s culture of compliance.
- Review and analyze policies and procedures to determine effectiveness of compliance procedures with current regulations and update as needed.
- Review and approve marketing and advertising materials to ensure adherence to SEC regulations and the inclusion of appropriate legal disclosures. Assist with the annual review of policies and procedures to determine effectiveness of compliance procedures.
- Analyze all incoming proposal prospects to ascertain prospect-to-client conversion ratio and present results to senior management to facilitate improvement in marketing campaigns and the firm’s weekly radio show. Identify positive and negative trends and the causative factors impacting prospect-to-client conversion.
- Act as the firm liaison with third party firms for back office reconciliation, client reporting and internal reporting using Charles Schwab’s Portfolio Center, Arcorns Technology’s tallyPort and Arcorns’ clientPort hosted by Microsoft Azure.
- Analyze portfolio management systems and prepare portfolio rebalancing formulas using spreadsheets for account maintenance.
- Maintain and improve the firm’s trade calculation models to promote increased efficiency and streamline and improve the organization’s trade desk methods.
- Prepare performance reports produced by contracted vendors, including Advent Portfolio Exchange (APX).
- Create prospective client proposals using Morningstar office, prepare and present financial investment statistics, execute daily trades with custodians, rebalance client accounts to align with investment plans and goals, and work with Microsoft Office Suite and Adobe.
Minimum Job Requirements:
Bachelor’s degree in Economics, Finance, Applied Economics, or a related field of study, plus one (1) year of experience with portfolio management performance reporting; the creation of prospective client proposals using Morningstar; the preparation and presentation of financial investment statistics; daily trade execution with custodians; rebalancing client accounts to align with investment plans and goals; Microsoft Office Suite; and Adobe at a RIA firm.
Mail resume to:
Payne Capital Management LLC
231 West 29th Street, Suite 1002
New York, NY 10001