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Compliance OfficerAIM Investment Services - Houston, TXResponsible for monitoring Portfolio transactions for compliance with internal restrictions, regulatory guidance and regulatory requirements, under general supervision. Responsibilities include assigned projects which will require highly developed problem solving skills, a certain degree of creativity, prioritization, and Team Work. PRIMARY DUTIES/RESPONSIBILITIES: 1. Review daily Portfolio transactions of 40ACT Funds, Institutional Clients, and Managed Accounts to ensure compliance with all relevant internal restrictions, regulatory guidance and regulatory requirements; 2. Analyze, interpret, and convert all relevant investment restrictions into absolute or calculated rules for placement in various Compliance Rule Expert Systems (e.g., Charles River, Bloomberg, and internal systems,... See job listing >30+ days ago from AIM Investment Services, Inc. - Save - Block - Flag - More Tools...
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AIM Investment Services
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Address:
432 W 41st St
Miami Beach, FL 33140
Phone: 305-531-8444
- Line of Business: Management Services Eating Place
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Key Numbers:
Company Type Private Company Revenue Less than $5M Company Size 10 - 100 employees
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