Senior Compliance Specialist
The primary responsibility of the Senior Compliance Specialist position is to provide daily compliance oversight of investment activity for the Rochester municipal bond fund complex. This monitoring and oversight position includes reviewing pre and post-trade investment activity and restrictions and ongoing reviews of best execution, trade allocation, credit analysis and adherence to fund prospectus and SAI limitations. Additionally this position will provide compliance oversight and assistance in the review of sales and marketing materials for the Rochester funds. This position will require daily interaction with the Rochester portfolio and credit investment teams as well as interaction with representatives from sales, marketing and legal.
Principal Responsibilities:
· The Senior Compliance Specialist will be responsible for monitoring municipal bond trade activity to ensure compliance with prospectus, SAI and investment guidelines.
· Work closely with portfolio managers, analysts and traders to appropriately manage compliance issues that arise from daily trade activity.
· Provides compliance oversight of the internal credit ratings process, trade allocation, interfund trade activity and sales and marketing efforts.
· Demonstrate both firm and industry leadership.
· Assists in providing regular reporting to senior management and the Board of Directors.
· May conduct periodic and annual risk assessments and assist in overseeing application of the Firm’s Rule 38a-1 and 206(4)-7 compliance programs.
Competencies for Success:
· Strong knowledge of CRD or similar compliance system and equity trading.
· Strong knowledge of fixed income investment strategies primarily relating to municipal bond trading.
· Proven leadership track record.
· Ability to communicate in clear unequivocal language, in writing, in meetings and in presentations.
· Strong analytical and problem solving skills and ability to work in stressful environment.
· Thorough understanding of the markets and willingness to learn and study new and complex investment methods and rationales.
· Undergraduate in Finance, Economics or other finance-related field.
· Three to five years working in compliance in the asset management field.
Please submit cover letter and resume to our website:
www.oppenheimerfunds.com