Analyst, Portfolio Compliance

## Description

The Analyst, Portfolio Compliance will play an integral role within the Compliance team monitoring trade activities to ensure DoubleLine advised accounts maintain conformity with investment guidelines and regulatory limits.

**Job Functions**

• Review and interpret investment guidelines for commingled funds and separately managed accounts.
• Implement and test automated and manual compliance rules and monitor adherence of trade activities to these rules.
• Research potential issues stemming from the trade monitoring and work with the Investment teams to resolve these matters.
• Assist with the preparation of monthly and quarterly client reporting.
• Collaborate with various business units, including Investment teams, Legal, Technology, Client Services and Operations.
• Participate in ad hoc projects, including process improvements and technology initiatives to enhance operational efficiency.

## Qualifications

• Bachelor’s degree, preferably in Business, Finance, Accounting or another related field.
• 3-7 years of experience in the investment management industry, including experience in trade/portfolio compliance.
• A comprehensive understanding of the trade/portfolio compliance function, including familiarity with a compliance engine (i.e., Bloomberg CMGR or similar systems), is required.
• Knowledge of Investment Company Act of 1940, UCITS and other common regulatory regimes.
• Proficiency in Microsoft Office products, particularly Excel with the ability to code macros using Visual Basic and other tools.

**Base Salary Range**

The estimated base salary range for this position is $100,000 -$115,000. In addition to base salary, this position is eligible for an annual discretionary bonus, plus a comprehensive benefits package