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San Diego, California - USD Full Time Posted: Thursday, 12 September 2019
 
 
Chandler Asset Management, Inc. is an institutional fixed income investment adviser with $18 billion in assets under management. We are seeking a Compliance Manager to join the team, assisting with all aspects of managing an SEC registered investment adviser compliance program. This Compliance Manager position reports directly to the Chief Compliance Officer ("CCO") and is responsible for the day-to-day leadership, operations and management of the Compliance and Ethics programs at Chandler Asset Management. The Compliance Manager will assist the CCO in providing guidance on ethics and compliance matters and directly manages various functions such as training, managing and implementing policies and procedures, internal audit and monitoring to ensuring compliance with the Investment Advisers Act of 1940 as well as internal compliance and ethics policies and procedures. Responsibilities:Assist the CCO in administering all aspects of the compliance program providing thought and people leadership.Conduct and manage advertising reviews, portfolio surveillance and compliance program testing.Provide day-to-day guidance and requisite training on the Company's code of ethics, compliance policies and procedures, the regulatory environment and the legal framework governing SEC registered investment advisers.Establish strong working relationships, collaborate effectively across departments to stay tuned with ongoing business process changes and build credibility within the Company to foster a culture of ethics and compliance.Advise senior management and operational leadership on issues concerning compliance and ethics matters including recommending controls designed to ensure compliance.Support the Chief Compliance Officer in monitoring compliance risks and evaluating and testing the adequacy and effectiveness of the ethics and compliance program.Develop, revise, and implement applicable compliance and ethics policies and procedures, processes, internal controls and standards of conduct.Identify continuous improvement opportunities, and implement routines to drive effectiveness and efficiencyHave strong working knowledge of the regulatory framework and requirements for registered investment advisers and keep abreast of changes to the regulatory environment and new or changing requirements.Assist the CCO with regulatory examinationsAssist the CCO with regulatory registration and required filingsOther duties as assigned
Requirements:Undergraduate degree required; JD or compliance certification preferredExperience with and strong understanding of fixed income securities8+ years of experience in an investment adviser compliance role8+ years of experience implementing and interpreting rules and regulations applicable to an SEC registered Investment Adviser.Ability to multi-task, meet deadlines and succeed in a fast-paced environmentProactive and resourceful self-starter with proven leadership skills including ability to effectively collaborate with senior managementStrong analytical skills with high attention to detail and accuracyAdvanced Microsoft Office skillsSuperior organizational skillsStrong communication skills with the ability to articulate complex concepts in a clear mannerStrong writing skillsStrong team playerExperience managing compliance program and personnel Personal Profile:Strong critical thinking and problem-solving skillsStrong sense of responsibilityAbility to work as a team member as well autonomouslyTakes initiativeSense of urgencyClient Service OrientedMeticulous/Precise attention to detailAbility to manage multiple projectsAble to work independently & self-motivatingHighly ethicalAbility to maintain confidentiality To be considered for this position, please send a resume and cover letter to .

San Diego, California, United States of America
Finance
USD
Chandler Asset Management
Chandler Asset Management
JS7484_1460515635/755496048
9/12/2019 4:46:45 AM

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