Portfolio Compliance Director

Loomis Sayles is seeking a Portfolio Compliance Director to join their Legal and Compliance Department. The Director will be responsible for coding, validating, and monitoring client investment guidelines in the Charles River Compliance System, working with investment professionals to resolve guideline exceptions, and ensuring accurate and timely rule coding in CRD.

Requirements

• Directly supervising Compliance Staff
• Comment on new and amended proposed guidelines during the Client Intake process
• Code new and amended guidelines in CRD
• Validation of guideline coding in CRD
• Review responses to CRD Alerts addressed by the Compliance Specialists or Analysts
• Work with members of the investment teams to cure guideline issues
• Work closely with Portfolio Managers and Client Service Representatives to seek guideline clarifications, amendments, and waivers
• Review the coding of existing accounts for accuracy
• Review new issue prospectus documents for client eligibility
• Review Investment Company, Investment Adviser and ERISA regulations for investment eligibility requirements
• Respond to compliance questions for RFP and due diligence questionnaire
• Work on ad hoc compliance projects as necessary

Benefits

• Comprehensive benefits package designed to support your health, well-being and financial security
• Discretionary annual incentive award based on individual and company performance