Compliance Surveillance Associate

📁
Asset Management Support
📅
220775 Requisition #

Lazard Asset Management operates in 41 cities across 26 countries. Our investment personnel manage over US $250 billion across a wide range of global, regional and country-specific strategies - both traditional and alternative - in listed equity and fixed income. At Lazard Asset Management, we pride ourselves in balancing the feel of a small firm with the scale of a large global organization. Our entrepreneurial culture and flat management structure foster an environment in which good ideas can take flight, no matter where they come from.

 

We are looking for an Associate to be primarily responsible for important trade surveillance and monitoring tasks. You will assess post-trade compliance guideline resolutions within the Charles River and Bloomberg’s compliance modules. You will help facilitate Section 13 reporting and global large holdings reporting, and coordinate new client onboarding process from a guideline review and coding perspective.  As a valued member of our team in a highly visible role, you will work closely with professionals in our Portfolio Management, Legal, Technology and Operations teams.  

 

 

We’ll trust you to:

 

  • Perform periodic reviews and quality control checks with regard to the monitoring of post-trade compliance reviews using Bloomberg AIM (CMGR and VMGR) and Charles River for fixed income and equity accounts, respectively. 
  • Project-manager our account onboarding process which includes, but is not limited to, ensuring that guideline coding, testing and approval are completed well ahead of the account launch.
  • Perform regular, surveillance-related forensic reviews and tests concerning the firm’s adherence to policies and procedures.
  • Maintain our firm’s restricted list and associated documentation.
  • Ensure global client certifications are requested and completed on an ongoing basis.
  • Help investigate and resolve matters important to Charles River and Bloomberg guideline monitoring with the firm’s Technology and Operations teams.
  • Work with other members of the Compliance Surveillance and Legal team on various ad hoc projects and reporting requirements as they arise. This includes working on the firm’s annual compliance report.
  • Manage SEC reporting and filing obligations under Section 13 of the Exchange Act and global large holdings reporting regimes.
  • Help prepare documents for internal and external audit requests including regulatory examinations.

 

You’ll need to have:

 

  • 3+ years' experience in a similar compliance surveillance role working for a U.S. registered investment adviser or broker dealer.
  • Strong project management skills.  Highly organized, detail oriented and proactive.
  • General understanding of SEC reporting obligations under Section 13 of the Exchange.  General knowledge of global large holdings reporting regimes a plus.
  • Experience with Bloomberg AIM Compliance and Trading modules (CMGR and VMGR) and Charles River (or similar systems) pre and post-trade monitoring. 
  • General understanding of requirements under the Investment Advisers and Investment Company Act.
  • Experience with a variety of investment products, including equity, fixed income and derivatives.
  • Ability to work well with others and communicate clearly in a fast-moving business environment.
  • Strong sense of ethics, accountability and judgment. 

 


 

Diversity and Inclusion at Lazard

 

Lazard is an intellectual capital business focused on delivering the best advice and solutions to clients. Achieving these objectives requires us to identify, develop and retain the best talent. A workforce comprised of people with varied backgrounds and experiences creates a rich diversity of thought that empowers us to challenge conventional wisdom, as diverse perspectives lead to better decisions.

 

Our appreciation of diversity’s strength is ingrained in our multi-cultural heritage. As a global firm that has grown organically from local roots in different countries, we have a deep tradition of respect for individual differences, which has been core to our success for several decades.

 

The ongoing cultivation of diversity and an inclusive, equitable culture are essential to our continued growth. We are committed to sustaining an environment in which all employees – regardless of socioeconomic status, race, color, nationality, religion, gender, sexual orientation, physical abilities, veteran or military status – can bring their whole selves to work to maximize their individual potential and our collective success.

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