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Sr Compliance Analyst

Company: American Beacon Advisors
Location: Irving
Posted on: June 13, 2019

Job Description:

Resolute Investment Managers, Inc.Analyst / Sr. Analyst - ComplianceLegal & Compliance(level To Be Determined By Candidate's Qualifications)Resolute Investment Managers, Inc. ("Resolute") is a diversified, multi-affiliate asset management platform that partners with more than 40 best-in-class affiliated and independent investment managers. American Beacon Advisors, Inc. ("ABA"), a wholly-owned subsidiary of RIM, is an SEC-registered investment adviser with $60 billion of assets under management. For over 30 years, ABA has managed assets for corporate defined benefit plans, institutions and individual investors, including the American Beacon Funds family of mutual funds. ABA has a long-standing history of innovative thinking, discipline and prudent investing leading to several prestigious awards for its pension management, cash management and mutual fund investment services.Job DescriptionResponsible for implementing procedures and controls for American Beacon Advisors and the American Beacon Funds family of mutual funds to ensure compliance with applicable regulatory requirements of the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority, U.S. Commodity Futures Trading Commission, and other applicable regulatory agencies.Assists the Chief Compliance Officer in developing firm-wide compliance policies and procedures to ensure the organization's activities comply with all pertinent legal and regulatory requirements.Performs special projects as required, such as compliance analyses of proposed new investment products.Specific Duties IncludeMonitoring internal portfolio managers and third-party sub-advisors for transaction-level compliance with regulatory requirements and portfolio guidelines.Implementing sub-advisor oversight program, including some travel to perform due diligence visits.Conducting testing and interviews to monitor compliance with established procedures.Reviewing mutual fund disclosure documents for consistency with regulatory requirements.Required QualificationsBachelor's degreeExcellent organizational, written and oral communication skillsAt least two years of experience in the investment management industryWorking knowledge of the federal securities laws as they apply to the operation of mutual funds and investment advisersPreferred QualificationsAt least two years of experience in compliance for an investment adviser or with a regulatory agencyFamiliarity with various security types, including derivatives

Keywords: American Beacon Advisors, Rowlett , Sr Compliance Analyst, Professions , Irving, Texas

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